world bank documentdocuments.worldbank.org/curated/en/899351468771683886/...lbc left bank canal llc...

MADHYA PRADESH WATER SECTOR RESTRUCTURING PROJECT[MPWSRPJ

WATER RESOURCES DEPARTMENTGOVERNMENT OF MADHYA PRADESH

SEMF ReportE888Vol. 3

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APRIL 2004

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TABLE OF CONTENTS

ABBREVIATIONS - SEMF ............................................ I

1. INTRODUCTION .................................................... 1-11.1 OVERVIEW OF MPWSRP & ESA ........................................ 1-11.2 DEFINITION OF SEMF ................................................ 1-31.3 RESPONSIBLE AGENCIES ............................................ 1-21.4 ROLE OF NGOS IN THE PROJECT ...................................... 1-41.5 SCHEME APPRAISAL PROCESS ........................................ 1-51.6 PRIORITY TASK - AWARENESS RAISING CAMPAIGN ........................ 1-5

2. STAGE 1 - PRE-PLANNING ............................................ 2-12.1 SEMF ACTIVITIES .................................................. 2-12.2 OUTCOMES OF STAGE 1: ............................................. 2-12.3 SCREENING FOR SUBPROJECT ATTRIBUTES ............................. 2-22.4 SCREENING FOR ENVIRONMENTAL AND SOCIAL ISSUES AND SAFEGUARD MEASURES

I ..................................................................................................................... I ......................... 2-52.5 MONITORING INDICATORS ........................................... 2-7

3. STAGE 2 - PLANNING & DESIGN ....................................... 3-13.1 SEMF ACTIVITIES .................................................. 3-13.2 IMPACT ASSESSMENT MATRIX - IAM .................................... 3-23.3 SOCIAL & ENVIRONMENT MANAGEMENT FRAMEWORK - SEMF ............... 3-23.4 CHECK LIST FOR APPRAISAL OF DRAFT SUB-PROJECT PLAN ................ 3-33.5 MONITORING OF INDICATORS ......................................... 3-3

4. STAGE 3 - IMPLEMENTATION ......................................... 4-14.1 SEMF ACTIVITIES .................................................. 4-14.2 CONTRACT CLAUSES FOR ENVIRONMENTAL & SOCIAL SAFEGUARDS ......... 4-2

5. STAGE 4 - POST IMPLEMENTATION .................................... 5-15.1 SEMF ACTIVITIES ................................................... 5-15.2 MONITORING INDICATORS ........................................... 5-1

6. TRIBAL DEVELOPMENT FRAMEWORK .................................. 6-16.1 PROCEDURE FOR PREPARING TRIBAL DEVELOPMENT PLAN ................. 6-16.2 DISPLACEMENT OF TRIBALS .......................................... 6-26.3 INSTITUTIONAL ARRANGEMENTS ...................................... 6-36.4 IMPLEMENTATION STRATEGY ......................................... 6-3

7. GENDER ACTION FRAMEWORK ....................................... 7-17.1 PROCEDURE FOR PREPARATION OF GENDER ACTION PLAN ................. 7-1

7.2 INSTITUTIONAL ARRANGEMENTS .................................. 7-27.3 IMPLEMENTATION STRATEGY .................................... 7-2

8. RESETTLEMENT FRAMEWORK ........................................ 8-18.1 INTRODUCTION .................................................... 8-18.2 POTENTIAL IMPACTS OF SUB-PROJECTS ................................ 8-18.3 RATIONALE FOR RESETTLEMENT FRAMEWORK ........................... 8-28.4 DEFINITIONS USED IN THE MPWSRP R&R POLICY FRAMEWORK .............. 8-28.5 BROAD PRINCIPLES & OBJECTIVES OF R&R FRAMEWORK ................... 8-38.6 ENTITLEMENT FRAMEWORK: ......................................... 8-58.7 PROCEDURE FOR PREPARING RESETTLEMENT PLAN ..................... 8-108.8 ADDITIONAL DETAILS RELATED TO RESETTLEMENT PLAN .................. 8-138.9 ORGANIZATIONAL PROCEDURES FOR RAP IMPLEMENTATION ............... 8-15

9. PEST MANAGEMENT PLAN ........................................... 9-19.1 PROCEDURES FOR PREPARATION OF IPM ............................... 9-19.2 1PM & INM TRAINING COSTS .......................................... 9-3

10. CULTURAL PROPERTY MANAGEMENT ................................. 10-110.1 PROCEDURES FOR CULTURAL PROPERTY MANAGEMENT .................. 10-1

11. COMMUNITY CONSULTATION ........................................ 11-1

12. DAM SAFETY ..................................................... 12-112.2 RELIEF WELLS ................................................... 12-1012.3 ACCESS ROADS .................................................. 12-13

LIST OF TABLES

Table 1.1: Water Resources Management - Institutions and InstrumentsTable 1.2 Component B: Institutional Reform - Irrigation and DrainageTable 6.1: Activities and Indicators for inclusion of Tribal issuesTable 6.2: Impact Indicators for evaluationTable 6.3: Institutional Arrangements for Tribal group involvementTable 7.1: Activities & Indicators for inclusion of Gender IssuesTable 7.2: Impact Indicators of Post Implementation StageTable 7.3: Institutional arrangements for women's' involvementTable 8.1: Eligibility CriteriaTable 8.2: Summary Entitlement MatrixTable 8.3: Procedure & Indicators for ResettlementTable 8.4: Impact Indicators for evaluation of PAPsTable 9.1: Procedures & Indicators for IPM PlanTable 9.2: Costs of IPM & INM ProgramsTable 10.1: Procedures & Indicators for Cultural Property ManagementTable 12.1: Size ClassificationTable 12.2: Hazard Potential ClassificationTable 12.3: Stage wise operation Guidelines for Dam safety plan

LIST OF FIGURES

Figure 1.1: Framework for Physical Asset ImprovementFigure 1.2: Project Institutional ArrangementsFigure 1.3: Proposed Institutional Strengthening for the MPWSRP

ABBREVIATIONS - SEMF

AHD Animal Health Department

CAIT Computer Application and Information Technology

CBO Cast Based Occupation

CCA Culturable Command Area

CWC Central Water Commission

DC Distributory Committee

DMT's District Master Trainers

DPIP Drought Prone Integrated Programme

DPR Detailed Project Report

EA Environmental Assessment

ENV Environment

EPA Environment Protection Act

ESA Environmental and Social Assessment

FYM Farm Yard Manure

GDI Gender Development Index

GIS Geo Graphic Information System

GOI Government of India

GOMP Government of Madhya Pradesh

GW Ground Water

HA Hectare

HDI Human Development Index

HLC High Level Canal

HLC High Level Canal

HQ Head Quarter

HYV High Yielding Variety

I & D Irrigation and Drainage

Madhya Pradesh Water Sector Restructuring Project

IAS Indian Administrative Services

ICAR Indian Council of Agriculture Research

IGA Income Generation Activity

IMC Indian Major Carps

IPDT Indigenous People Development Plan

IPM Integrated Pest Management

IPNS Integrated Plant Nutrient Supply

ISI Indian Standard Institution

IWRM Integrated Water Resources Management

JFM Joint Forest Management

KM Kilometre

LBC Left Bank Canal

LLC Low Level Canal

LPG Liquid Petroleum Gas

LUN Laghu Udyog Nigam

M&E Monitoring and Evaluation

MCM Million Cubic Meter

MDT Multi-Disciplinary Teams

MFP Minor Forest Produce

MIP Minor Irrigation Project

MIS Management Information system

MP Madhya Pradesh

MPEB Madhya Pradesh Electricity Board

MPSEB Madhya Pradesh State Electricity Board

MPWSRP Madhya Pradesh Water Sector Restructuring Project

NA Not Available

NGO Non-Government Organisation

Madhya Pradesh Water Sector Restructuring Project II

END xESA Tina(4po7M

NIH National Institute of Hydrology

NIRD National Institute of Rural Development

NPK Nitrogen Phosphorus Potassium

NVDA Narmada Valley Development Authority

NVDD Narmada Valley Development Department

NWDT Narmada Water Dispute Tribunal

O&M Operation & Maintenance

OBC Other Backward Class

OTC Orientation Training Centre

PAF Project Affected Family

PAP Project Affected Persons

PC Project Committee

PESA Panchyats Extension to Scheduled Areas

PHED Public Health Engineering Department

PICU Project Implementation Coordination Unit

PIM Participatory Irrigation Management

PMGSY Pradhan Mantri Gram Sadak Yojana

R&D Research and Development

R&R Rehabilitation & Resettlement

RAP Resettlement Action Plan

RBC Right Bank Canal

RL Reduced Level

R&R Policy Rehabilitation & Resettlement Policy

SC Scheduled Cast

SDO Sub Divisional Officer

SDU Social Development Unit

SEMF Social & Environmental Management Framework

Madhya Pradesh Water Sector Restructuring Project III

SHG Self Help Group

SPIG Scheme Productivity Improvement Group

SPOR State Policy on Rehabilitation 2002

ST Scheduled Tribe

SWaRA State Water Resources Agency

SWaRDAC State Water Resources Data and Analysis Centre

SWaTReC State Water Tariff Regulatory Committee

TC Territorial Committees

TOT Training of Trainers

TV Television

VRS Voluntary Retirement Scheme

WALMI Water and Land Management Institute

WRD Water Resources Department

WRDTC Water Resources Development Training Centre

WRM Water Resources Management

WUA Water User Association

Madhya Pradesh Water Sector Restructuring Project Iv

1. INTRODUCTION

The present Chapter gives an introduction to the Social and Environmental Management Framework. It providesthe context of this SEMF, its components, the manner in which these are to be implemented and the agenciesresponsible for implementation.

I OVERVIEW OF MPWSRP & ESA

1.1. 1 MPWSRP

The Madhya Pradesh Water Sector Restructuring Project (MPWSRP) plans a holistic developmentwith an integrated vision for water sector development and management and user participation inplanning and management to achieve a demand driven process. The strategy emphasises anenvironmentally and socially sustainable basin approach for water resources planning andmanagement, including conjunctive use of surface and ground water. Agricultural intensification anddiversification to be supported under this proposed intervention would contribute to creation of both on-farm & off-farm employment and create enabling environment for private sector participation. Thus theproject would contribute to poverty alleviation and environmentally sustainable growth.

The GOI National Water Policy and the draft Water Policy of Madhya Pradesh emphasize the need tobase water resources development in a river basin/sub-basin context. The Bank's strategy in thissector also follows the same principle. The proposed assistance to MP would be based on a holisticapproach to water resources management in each of the river basins/sub-basins of the State. All wateruses (irrigation, hydropower, domestic, industrial, fisheries, livestock, recreation) would be taken intoaccount. In the initial phase of the program, five basins/sub-basins located north of the Vindhya Rangenamely, Chambal, Sind, Betwa, Dasan-Ken and Tons have been selected in consultation with theWRD senior management based on (i) high incidence of poverty (the MP DPIP operates in these fivebasins); (ii) existence of ageing systems that need rehabilitation and modernization; (iii) presence ofdifferent types of water resources management challenges (major, medium, minor irrigation projects,small hydropower developments, fisheries, potential public private partnerships); and (iv) contiguity ofthe basins. River basin management entities would be developed in two basins together withnecessary decision support system development capabilities. It is envisaged that these entities wouldbe the basin level organizations performing similar tasks as the State Water Resources Agencyproposed at the State-level. Integrated Water Resources Management (IWRM) techniques would beimplemented in Sindh and Tons basins.

The project development objective is to improve productivity of water for the enhancement of sociallyand environmentally-sustainable growth and poverty reduction in selected focus basins (Chambal,Sindh, Betwa, Ken and Tons) of Madhya Pradesh. The proposed project components provide supportfor institutional reforms in water resources management as well as for irrigation service deliveryand complementary investments in improving and modernizing physical assets as describedbelow:

Component A: Water Resources Management - Institutions and Instruments

Madhya Pradesh Water Sector Restructuring Project 1-

This component would support the establishment and operationalization of the proposed planning,allocation and regulatory institutions and instruments at the State and basin-levels. This would bedone through the proposed State Water Resources Agency, the associated State WaterResources Data and Analysis Center, a State Water Tariff/Rights Regulatory Commission, andBasin Development and Management Boards for the Sindh and Tons.

Component B: Service Delivery - Irrigation and Drainage Institutions

This component would support measures related to delivering reliable irrigation services atreasonable cost by financially self-sustaining entities. This includes irrigation line agencystrengthening through technical and management assistance, including the development of acomprehensive information management system, training, and equipment. Options for promotingdecentralized management of irrigation and drainage schemes through strengthening of WUAsand increased public-private partnerships.

Component C: Improving productivity of selected existing irrigation and drainage assets infive basins

This component would operationalize the concepts and provide the necessary investments in fivebasins (Chambal, Sindh, Betwa, Ken and Tons) to modernize existing irrigation schemes throughrehabilitation, provision of appropriate extension for agriculture, horticulture, livestockmanagement and fisheries and WUA strengthening.

Component D. Project Management Support

A multi-disciplinary Project Activities Coordination Unit (PICU) would coordinate the project activities.Support would be provided to assist the PICU with its role in facilitating and guiding the implementationand monitoring of all project activities, ensuring synergy and coordination amongst activities andagencies implementing these activities, preparing consolidated reports and facilitating training. PICUwould be responsible for baseline surveys and environmental, social and other assessments startingfrom project preparation period and update of such information throughout project implementation andbe responsible for project monitoring and evaluation in addition to direct implementing agencies fortechnical, social, institutional and economic issues.

The Project is a multi-level hierarchical programme, which attempts to address the existing deficienciesthrough a mix of institutional reforms and rehabilitation of physical assets. Overall institutional relatedenvironmental and social aspects have been dealt in the ESA report whereas Component (C):Improving productivity of selected existing irrigation and drainage assets in five basins, towhich the SEMF applicable has been dealt in this report. The activities under this component, thataccounts for most of the project costs, consist of the following:

* Asset Modernisation through rehabilitation of selected irrigation & drainage schemes with participatorysystem design, volumetric delivery of water to Water User Associations and real time monitoring &management of systems;

* Agricultural Intensification and Diversification including Horticulture and Livestock Improvement; and

* Development of Fisheries.

This SEMF is not final but it is developed based on survey findings of 20 sample schemes. This SEMFwill be applied on all the schemes to taken up in MPWSRP through processes laid down in thedocument. The SEMF will be further modified based on the lessons learnt from the first year schemes.

Madhya Pradesh Water Sector Restructuring Project 1-2

1.1.2 ESA Study

As a part of the main project, an ESA study was undertaken to provide inputs into the MPWSRP inaccordance with the World Bank Operational Guidelines, through identification of key environmentaland social issues related to the project and devise opportunities to enhance the benefits and mitigatepotential concems. The integration of such issues within the project planning and implementationprocesses is to help minimize post design mitigation measures. The SEMF is the outcome of thisstudy and has to be applied to all the proposed sub-project activities through various stages of theentire project cycle. Broad objectives of these stages are as follows:

* Pre-Planning Stage: Building up Environmental and Social Knowledge Base and inclusion of Initial BroadStakeholder views,

* Planning and Design Stage: Plan effective and sustainable activities in a participatory manner that istechnically, socially, environmentally and economically sound and agree on an Memorandum ofUnderstanding with all key stakeholders,

* Implementation Stage: Implement activities and build capacity within the Stakeholders Departments andWater User Associations, and

* Post Implementation Stage: Withdraw gradually by building sustainability into the sub-project.

Tables 1.1 & 1.2 present the Environmental & Social concems, opportunities, mitigation measures andmonitoring indicators for Components A and B of the project respectively. The present SEMF pertainsto the incorporation of environmental and social mitigation and enhancement measures for sub projectactivities of Component C of the MPWSRP only. Fig 1.1 presents the project cycle for Component C(Physical Asset Improvement) and the SEMF activities to be undertaken.

12 DEFINITION OF SEMF

An SEMF is a road map to be followed by the Project Implementing Agency and their staff forincorporation of environmental and social management measures into the main project planning,execution and operation. It lays down a step-by-step methodology for activities that have to beundertaken parallel to the engineering and institutional intervention measures of the main project.

The SEMF contains relevant Formats and Checklists to be utilised for the abovementioned works. Italso contains Framework and Action Plans for various key issues like Dam Safety, Pest Management,Cultural Property Management, Resettlement & Rehabilitation, Tribal Issues, Gender Issues andCommunity Sensitisation that need to be addressed.


Table 1-1: Water Resources Management - Institutions and Instruments

Activity Existing / Opportunities Mitigation/Enhancement MonitoringPotential Measures / IndicatorsConcerns Implementing Agency

State Water Low level capacity to Mainstream environmental and Major effort at building ImprovedResource understand and social issues in Basin environmental capacity at knowledgeAgency & integrate Planning and Management SWaRA for river basin baseBasin Agency environmental and Improve environmental planning, allocation and ImprovedFunctioning social issues related knowledge-base, analytical regulation (WRD) access to

to basin planning tools and institutional linkages Development of a significant knowledgeLack of environmental for environmentally and environmental knowledge- baseknowledge-base socially-sustainable integrated base and analytical capacity Change incapacity and water resources management on the State and especially basin levelanalytical tools in a basin framework on the selected basin at the planning

Lack of planning in (including wetlands SWaRDAC to support the Change inbasin development management, conjunctive consideration of awarenessconsidering groundwater-surface water environmental issues at level ofenvironmental issues management, in-stream flow SWaRA and SwaTReC stakeholdersuch as water logging, allocation and enforcement for (WRD)salinisation, resource environmental and other Data-sharing, institutionalconflicts, stakeholder purposes, water quality mechanisms built-in for inter-consultation and management, appropriate agency coordination (WRD)participation, flooding, environmental and social A Strategic Basin Environmentenvironmental assessment framework for & Social Assessment toallocation, etc. projects impacting water inform Basin planning,

Lack of coordination resources availability and develop knowledge-base,amongst WRD & line quality, etc.) build capacity and generatedepartments and Improve multi-stakeholder ownership (WRD)between line awareness and encourage Provision for identified anddepartments and inter-agency cooperation and unidentified Special Studieswater users in sharing coordination on environmental and access to environmentalinformation and and social issues expertise (WRD)proper coordination of Promotion of Environmentalactivities awareness, communication,

etc. (e.g. through website,State of Water EnvironmentReport, multi-media events,etc.) (WRD)

Encourage extensiveenvironmental trainingactivities within and outsidethe Apex Institutions (WRD)

Develop environmental andnatural resource database forthe state and basins (WRD)

Pilot various types ofenvironmental analysis andmodelling, (WRD)

Training and Awareness-building (WRD)

Tariff Reform/ Low water rates Improved fiscal/financial Develop environmental and Change inWater Rights causing scarcity of position of department social principles and water tariffAdministration funds for O&M Clear water rights leading to guidelines in setting water Establishment

Affordability of farmers improved water management, tariffs (SWATREC/SWARA) of waterClarity on water rights and optimal water use Extensive consultation before rightsand lead time to finalizing water rates and frameworkdevelop adequate water rights Change ininformation base (SWATREC/SWARA/WRD) revenue

Compensatory collectionmeasures/development of Change insocial safety nets before O&Mtransferring bulk water fromone sub sector to the otherbased on sound economic


Activity Existing / Opportunities Mitigation/Enhancement MonitoringPotential Measures / IndicatorsConcerns Implementing Agency

principles(SWATREC/SWARA/WRD)

Coordinate consultation onenvironmental and socialaspects and revenuecollection with WUAs(SWATREC/SWARA/WRD)

Rewards for productive use ofwater and disincentives forwasting water(SWATREC/SWARA/WRD)

Encourage the trading ofwater to higher economicapplications to minimizeresource utilisation, servicedelivery costs and operationand maintenance(SWATREC/SWARA)

Training and Awareness-building(SWATREC/SWARA/WRD)

Basin Board Lack of focal point for Provision of focal point to Develop and implement BasinStrengthening stakeholders to address multi-sectoral issues simple and effective Board/Sub-(Sindh and discuss in a basin context environmental guidelines for basinTons Basins) environmental, social Development and use of an WRD activities for basin commitee

and water issues adequate environmental and development (SWARA/Basin meetingsrelating to a basin and social knowledge base Boards) andinteract with other Develop Environmental participationdecision-makers knowledge base and Change in

Poor capacity at appropriate modern analytical basinMPWRD to address tools to facilitate informed planningenvironmental & decision-making at various approachsocial issues; also levels in irrigated agriculture No of trainingpoor partnerships activities from MPWRD to and

Existing environmental farmer level (SWARA/Basin workshopsknowledge base, Boards) to WUAsanalytical capacity Guide the mainstreaming of and Staffand environmental environmental issues in theawareness in implementation of the pilotMPWRD and among reform activities in the basinfarmers is weak (SWARA/Basin Boards)

Inter-agency Training and Awareness-information sharing is building (SWARA/Basinweak Boards)

Development of a significantenvironmental knowledge-base and analytical capacity(SWARA/Basin Boards)

Promotion of Environmentalawareness, communication,etc. (e.g. through meetings,website, State of WaterEnvironment Report, multi-media events, etc.)(SWARA/Basin Boards)


Table 1-2 Component B: Institutional Reform - Irrigation and DrainageActivity Existing / Opportunities Recommended Monitoring

Potential Mitigation/Enhancement IndicatorConcerns Measures /

Implementing AgencyTraining & Inadequate Improvement of Develop detailed training plan No. of trainings toCapacity training and staff skills, to identify target staff/ WUAs, staff and WUAsBuilding professional skills-mix and training opportunities Participants in

development capacity (courses, awareness visits, trainingopportunities for Awareness of national and international Survey feedbackWRD staff and new options for study tours, etc.) and trainingWUAs improving institutions/experts to

Inadequate irrigation service improve the understanding ofaccess to delivery and use addressing social andexpertise Reduced environmental issues in

Lack of wastage of irrigation and drainageawareness of the resources activities. (PICU/individualfull range of Improved self- project departments)management image Depute training coordinatoroptions and Improved and evolve training strategymodern ways of sensitization to to match staff/WUAs anddoing business under- their training needs with

Inadequate emphasized training opportunitiesdissemination of issues such as (PICU/individual projectthe new laws and dealing with departments)policies gender, tribal, Promote memberships in

Lack of knowledge resource professional organizations inof new conservation, key environmental and socialtechnologies cropping areas (e.g. for participatory

Lack of agriculture patterns, irrigation management,extension environmental integrated water resourcesactivities flows, wetland management, non-point

Lack of good management, source pollutiontargeting of staff and other management, integrated pestand WUAs for issues management, etc.)training Strengthening (PICU/individual project

the dialogue, departments)exchange andexploration ofideas betweengenderspecialists,social scientistsand economistswithingovernmentsand otherexperts andagencies

Strengthening ofWUAs toimprove PIM

Information Poor knowledge Improve reliable Develop a high-quality Change inManagemenVMIS base on and effective spatially-referenced database feedback

environmental management of environmental and social processand social information parameters for MP in general Level ofaspects of system for two and the project focus basins awarenessirrigation way information and schemes in particular to amongschemes Improve role of promote environmentally and stakeholders

No reliable feed media for socially sustainable irrigation Level ofback system on awareness service delivery. participatoryperformance of building Develop effective information approach inimplemented management system for basin planning


Activity Existing / Opportunities Recommended MonitoringPotential Mitigation/Enhancement IndicatorConcerns Measures /

Implementing Agencyschemes WRD and link to decision- and

Poor access to support (WRD) implemntation ofimportant Develop adequate information MPWSRPinformation on sharing arrangements withenvironmental other agencies (WRD,and social Agriculture dept, horticultureaspects to a wide dept, veterinary servicesrange of dept, fisheries dept, etc.)stakeholders Develop awareness

Poor use of programmes, publications,environmental websites, etc. to helpand social disseminate relevantinformation information, benchmarking,indecisions and state of the basin reports

Lack of based on these data (WRD)coordination in Develop consultation processline departments to collate, use, update,regarding sharing disseminate and use theof information information (WRD)

Develop transparency in theplanning, designing andimplementation (WRD)

Irrigation Manual Inadequate Re-design of Develop contract clauses Inclusion ofRevision provisions to manual as per related to environmental environmental

address issues present issues (WRD) and social issuesrelated to basin requirement Enhance powers to modify into irrigationplanning design as per site manual and

No provisions for requirement (WRD) associatedaddressing social Develop operation and businessand maintenance guidelines processesenvironmental (WRD)issues Include role of WUA, their

Lack of flexibility responsibility andin implementation accountability (WRD)

No provision for Develop MoUs for consultancyparticipatory services, WUA's, NGO's andirrigation Public- Private partnershipmanagement and (WRD)public- privatepartnership

Lack for operationand maintenanceguidelines

Fallibility in designas per siterequirement

Inadequateprovision ofdrainage incommand area

Voluntary Re-entry of staff Reduce fiscal Develop a transparent No. of employeesRetirement into Government burden of state communication plan would be who opt for VRSSchemes Social tension and and financial developed to provide Training/retraining

loss of face as a burden on adequate information to programs heldresult of job loss department employees in targeted posts Set up and

Not Improve morale to describe all aspects of the performance ofinvesting/spendin in workplace of proposed VRS (WRD) VRS panelg VRS benefits targeted surplus Target selected posts in WRD Development ofwisely posts to reduce chance of good detailed VRS

Non-availability of Provide access employees not targeted implementation


Activity Existing I Opportunities Recommended MonitoringPotential Mitigation/Enhancement Indicator

Concerns Measures /Implementing Agency

employment to training and leaving (WRD). planopportunities potentially Ensure staff do not re-enteroutside WRD beneficial through age cut-offs for VRS

Loss of best staff opportunities to eligibility, maintenance ofthrough VRS currently adequate personnel roster,

Inadequate safety underutilized or inclusion of appropriatenets for staff unproductive clauses in contracts andopting for VRS staff in WRD awareness programs.

Perception of least who opt for VRS Develop an adequateproductive staff Create fiscal attractive financial package totargeted for extra space for attract targeted staff to thecompensation deployment of VRS (PICU/WRD)through VRS much-needed Develop adequate safety nets

new skills and in VRS implementation,investment in including training/retrainingother programs, provision ofactivities/sector investment advice,s advice/facilitation for

Generate alternative employment andlessons to post retirement supportimprove VRS (PICU/WRD)policies Explore potential to create

Possibilities to employee companies withemploy retired initially guaranteed workemployees on programs to work with WRDshort-term (PICU/WRD).temporary basis Ensure Adequate Consultationon remunerative & Counseling measureswork in NGOs within the department (WRD)and Setup Panel with WRDConsultancy management and employeeFirms representation to monitor

Improve VRS implementation andhandover to address grievancesWUAs without (PICU/WRD)parallel and Engage consultant to developunclear detailed VRS implementationresponsibility planwith WRD staff

Improve benefitsofmodernizationof WRD


Responsible Stage Activity Output IndicatorsAgency *Spatial locations, Salient features

it, U -t- = of Projects, c Identify Key Stakeholders *Key Environmental & SocialNGOs, Cu Preliminary Consultations Issues

Other -- *Relevant stakeholders & level of

Agencies SCREENINGOFPROJECTS | PROJECT INTERVENTIONS____ IDENTIFIED

*Spatial Distribution of IssuesJoint Walkthroughs *Impact Assessment

*Analysis of Alternatives(Structural / Non Structural)

C D A IO IMPACT CATEGORIZATION

DRAFT MITIGATION &inmiranUfl~Smue rupraen ENHANCEMENT MEASURES

C __- *Meetings (Number, Attendance,E WRD, and minutes)a NGOs, 06 *Appraisal Comments Reflected in° Other Line . *c Plan and Estimate

Agencies *EnvironmentalE- Agencies *Economic

FINAL MITIGATION &a FINAL SAFEGAURD MEASURES ENHANCEMENT MEASURES

-- =d g PLAN ACCEPTANCE

*MOU developed and signedO - - with plan, estimates, schedule_ Understanding (WUA, WRD, Other Line Agencies)

.. ICONTRACT CLAUSES SAFEGUARD CLAUSES IN MAINS | CCONTRACTo WRD, m *Procurement documents contracts4-- 0NGOs, AwardiCnt awarded & equipment procuredsco *Fund FlowL.WUAs,

o Other Line c r<) Agencies, u -Supision -Works executed

Consultants c *Quality Control

L.L| MONITORING & EVALUATION WUA, WRD and other

WR,Monitoring & SupervisionWRD,NGOs, .2 -ICR PreparedWUAs, - Inp"t i-6rt'l *Final Monitoring & LearningOther Line X0 indicatorsAgencies, cu SUSTAINABITACTIVITIESPanchayats -*Links with other agencies

: v,Training and awareness activities all through

Figure 1-1: Framework for Physical Asset ImprovementMadhya Pradesh Water Sector Restructuring Project 1-9

13 RESPONSIBLE AGENCIES

Since the project is being implemented through the Water Resources Department, it is the primeresponsible agency for implementing the recommendations and procedures laid down in the SEMF.The sub project officials with the help of Multi-Disciplinary Teams are responsible for complying withthe procedures of the SEMF throughout the project cycle.

Identification of physical interventions shall be carried out by the Scheme ProductivityImprovement Group (SPIG), which shall consist of the following WRD officials in charge of thesub-project:

* WRD Division Head (Executive Engineer),

Relevant Sub-Divisional Officers (AEs),

Relevant Sub-Engineer and Field staffs like Amin, Timekeepers, etc.

NGOs recruited to work with each Division

Nodal Officers (extension workers and supervisors) of various departments (Agriculture, Fisheries,Horticulture and Animal Husbandry and Veterinary)

Water Users Associations (WUA) members, Self Help Group (SHG members) and Project Committee (PC)and Distributory Committee (DC) members, and

The above team shall be supervised by the Project Implementation Coordination Unit (PICU) at theState level consisting of experts in various disciplines. The institutional arrangements forimplementation of the project and the associated strengthened expertise (in the form ofexperts/consultants in various critical areas that are currently under-represented) are shown in thefollowing figures. The responsibilities of the various institutional entities involved are shown in thesubsequent Table 1.1.


1U! S£VSWF :ina(47pof

State-Level Project Implementation 14S Coordination Unit (PICU)

Water Resources II%5 Uep~irrne(D)~ 1 Associated Departments

Agriculture Department*Horticulture Department

CE CE ( CE \ CE . Animal Husbandry DepartmentChief Engineer Cha S \etwa \ e&* Fisheries Department

Level

Scheme Productiv Imprdv,menY&r4p (SPiG) at each Division | 1

:Executive Engineer L E ( N.O.i (Division) Level EE IN!-------------------------------------------------- ---------------------------------------------.1i----R----------------------i

- ----------..

Water UserAssociation Level WA WA -

...............................

Farmer Level Frer/ Fm Farmer/

Figure 1-2: Project Institutional Arrangements

Additional Expert Input PlannedPart-time Experts at PICU for:

Project Implementation * Agriculture GenderStCorinaioLUntvPlCU) Horticulture Environmental MgmtCoordination Unit (PICU Livestock Mgmt. Hydrology

* Fisheries * Advanced DesignsSocialI Development ' Agricultural Economist

17 % Monitoring & Evaluation

Part-time Experts at each CE for:

CE CE > CE CE Agr. Intensificaton & DiversificationChief Engineer Chambal Sindh Betwa en&Ton -Social Development

Level .Agr. Economist (incl. M&E)L , * Advanced Designs,-- -- -- -- - - - - - -- -- -- -- -- -- -- -- -- -- -- -- ---

.. ,Scherne Productivity Improvement Group (SPIG) at each Division I

*Executive Engineer - I j I I Deputed Staff for Agr. Intensification & Diversificatlorn

(Division) Level EE-1 EE-2 L EE-3 1 NGO(community mobilization and facilitation)

I- - - - - -- - -'Zf-------------------------J.~a.

Water UserAssociation Level WUU

-------------------------FamrLvl Farmer/ Farmer/ F rmerlFarmer Level Other Water User Other Water User OtheraWater User

Figure 1-3: Proposed Institutional Strengthening for the MPWSRP


1NAMUL S£E9 (Finaf (porn

Table 1-3: Responsibilities of different entities at each stage of implementation process

Activity- Pre-Planning Planning Impl6mentation Post-Entity Impl6mentation

PICU Providing Guidelines and Providing data from GIS and Assistance and back up Help with documentingbackup support and other sources to SPIGs for support in helping SPIGs good practice examples asoversight to SPIGs ( field undertaking effective develop effective, scheme well as lessons leamt andunits). planning. productivity improvement their disseminationAssistance in contracting of Participate in some of the plans. between SPIGS.NGOs for social initial SEMF application Assistance in enabling Facilitating exposure visitsmobilization and facilitation exercises in each division to linkages with resource of SPIGS and WUAof SEMF applicaton. help build capacity. support organizations for representatives to goodHelping coordination of Capacity building of SPIGs in enhancing agriculture, AH, practice examples.Agri, Horticulture, AH, and in SEMF application and fisheries, horticulture basedFisheries dept.s with the effective project productivity and income.WRD at district level implementation.through requestingappropriate support fromState and District levels.

SPIG Create a database of Plan for SEMF application Proiect implementation with Carry out implementationschemes to be taken up for and identification of the active involvement of completion reports (ICRs)modernization along with all modernization requirements concerned line and learn from thisrelated data on of irrigation system with the departments and the WUA experience forsocioeconomic, active involvement of WUAs members. implementation of other

and facilitation by NGOs Identification of key schemes.through attending appropriate environmental and social Undertake regularcapacity building programs concerns. monitoring of worksorganized by PICU and other completed to assessagencies. impacts with the

involvement of the WUAsand the other lineagencies.

NGOs Facilitate partnerships Undertake community Assist WUAs & WRD to Help document experiencebetween SPIGs and WUAs mobilization at WUA level implement SEMF, including of implementing systemalong with involvement of with the involvement of all helping vulnerable groups modernization andother relevant line agencies sections of the community to access project benefits productivity improvementfor effective project including vulnerable sections Assist WUAs in activities as well asimplementation through and to help SPIG team and undertaking system monitor the impact ofconducting workshops and line agency representatives modemization in these activities towardsopportunities for interaction undertake planning for system partnership with SPIG and enhancing learning of allat the WUA level. modernization., to include agriculture, stakeholders.

horticulture, animalhusbandry and fisheriesproductivity improvementwith active involvement ofcommunity.

WUA Ensure that all members of Coordinate the involvement of Implement provisions of To undertake managementthe WUA are actively all WUA members along with SEMF, including helping of modernized systeminvolved in the planning and SPIG and line agencies for vulnerable groups to towards enhancingidentification of modernization and access project benefits productivity and monitoringmodernization activities. productivity improvement Implement system the impacts thereof.

activities. modernization andproductivity improvementactivities in partnership withSPIG and line agencies.

1.4 ROLE OF NGOS IN THE PROJECT

The primary role of NGOs would be two fold:

* To assist the WUAs and the WRD to implement the provisions of the SEMF and


LI- SEM'' Thiafton

To assist with community mobilization with the involvement of all sections of the WUA and to facilitate WUApartnership with SPIG and other line agencies for system modernization and agriculture, fisheries, animalhusbandry and horticulture productivity enhancement.

NGOs would be contracted -by the Basin Chief Engineers with the active involvement of the concernedExecutive Engineers in the selection process using Terms of Reference that clearly outline theexpected facilitation role of these NGOs. Criteria for selection of NGOs would include their ability towork effectively both with village communities and with the Water Resources department and other lineagencies towards building partnerships that helps communities enhance productivity of water, enablevulnerable groups (including landless, tribal, women, etc.) to access the project benefits and ability tofacilitate partnership between WUAs and WRD engineers.

Selected NGOs would also be expected to help with a river basin/sub-basin approach to integratedwater resource management with due attention to involvement of all stakeholders/users of water in thebasin/sub-basin. The ability of NGOs to effectively link up with other agencies such as those involvedwith credit provision, marketing of agriculture, horticulture produce including banks and private sectoragencies would be an important criterion.

The ability of NGOs to act as facilitators that are prepared to recede to the background by enhancingcapacity of WUAs to work as equal partners with the Water Resources Department and other lineagencies as well as private sector partners would be key. NGOs need to plan on an effective exitstrategy right from the beginning and be able to demonstrate the effectiveness of their having beeninvolved in each and every community mobilization, facilitation and networking activity assigned tothem under the project.

1.5 SCHEME APPRAISAL PROCESS

The project also proposes to incorporate a rigorous appraisal process at PICU that will criticallyexamine the technical, environmental & social and economic & financial aspects of each schememodernization plan submitted by the SPIG. Appropriate consultancies, training, software, guidelinesand other tools will be prepared to facilitate the appraisal process. This appraisal process will includethe examination of the quality of application of the SEMF on the schemes/sub-projects and provideguidance to the SPIGs as necessary.

In addition to the above several tools shall be applied to ensure involvement and benefits accruing tovulnerable groups. These are Personal Interactions, Consultations, Joint Walkthrough, Training,Memorandum of Understanding, WUA executed works and income generation activities.


Scheme Appraisal ProcessI Consultations Joint Walkthroughs, Surveys Analysis, Expert Input

bmission of Integrated Scheme Modernization PlanAbm n and MOU to the PICU

1 ~Appraisal Focus Areas

Environment & Social Appraisal Technical Appraisal Economic & Financial Appraisal

Coensultaton & Ji Walithtroughs - Erng ieenng Design Detafled Costs

* Environmental & Social Mianagement Plan .Asset -ventory and asset statu,s Project Benefits (qiantitatwie & qual,tautve)

* Sift disposal. construction-related* Ottilsn,,g of problems & options assessment . Enalnahon of semphified beneflt-cost analysiswater ci.al,N, etc ) *Use of Surveys expert opition, consultations for each scheme

* Gender * Hydrologic. siltation water demand based on agr, F,md fow tnggers for releases* Tibal Decelopment hot and fisheries requirementts and other analysis WUA contribution

Resettlemlnent 1nocatine design based on consultation Monitoring & Learning Indicators & Baseline

'Dam Safety Constmction

* Pest Management *Draft Contracts. Specitications

* Cnitnral Property On*haty Control (OK Card)

* Nalural Habitats Supporting Investments

* Confict Management 'Agriculture, HonilnCULtre. Livestock management

Reflectioi of these aspects in Contracts, and fishenes detailed plaisMOU OK Card. Traimng Plan * Oceral acti,ty schedfting

* Monitorng & Learning Indicators & Basetline *Monitoring & Learntng Indicators & Baseline

Figure: Project Appraisal Process

116 PRIORITY TASK - AWARENESS RASING CAMPAIGN

For success of MPWSRP, an awareness campaign for dissemination of information of the project tothe potential beneficiaries will be needed. This process shall be carried out through the entire cycle ofthe project.

It will focus primarily on the broader objectives considering need of Social and Environmental issuesand scope of the MPWSRP, details of how the beneficiaries may participate in the sub project activitiesand the anticipated benefits. The awareness program will follow the details of the approved project andinclude what the project offers, the eligibility criteria and how the stakeholders can benefit from theproject. In this connection the following campaign for information dissemination is proposed, in additionto the key channels of communication with the farmers like NGOs, WUAs and other stakeholders.

Some specific media tools that will be utilized are listed in the following Table 1.4

Table 1-4: Media Tools for raising awareness

Tools Activity Who will be involved Co-ordinatorRADIO MPWSRP programs on Information, to Experts from Water Media

disseminate relevant messages through daily resources, Agriculture, Expert, PICU,Madhya Pradesh Water Sector Restructuring Project 1-14

L W S£E5K ThinarqZpofl

broadcasts on Radio Horticulture, Animal MPWSRPHusbandry, Fisheries etc.

TV PROGRAMS Weekly programmes on MPWSRP activities to Experts from Water Mediabe telecast on TV resources, Agriculture, Expert, PICU,

Horticulture, Animal MPWSRPHusbandry, Fisheries etc.

NUKKAD As Street play (NUKKAD NATAK) and Puppet WRD with the help of EE, WRD,NATAK/ DRAMA show are very popular in rural areas for NGOs and local cultural Media

information dissemination. The message of groups Expert, PICU,MPWSRP program can be prominently put MPWSRPforward in these programs on regular basis.

MOBILE VANS Provision of Mobile Vans with video films that WRD Mediadisplays proposed interventions of MPWSRP Expert, PICU,

MPWSRPPUBLICATIONS Leaflets, Booklets, posters and pamphlets can Water resources, Media

be published to disseminate the messages Agriculture, Horticulture, Expert, PICU,Animal Husbandry, MPWSRPFisheries etc.

ADVERTISE- Advertisements can also be published in Water resources, MediaMENTS newspapers especially on National and State Agriculture, Horticulture, Expert, PICU,

Daily on important occasions. Special articles Animal Husbandry, MPWSRPmay also be prepared and published in the Fisheries etc. /NGOsnewspapers

PERSONAL Personal interaction (e.g. through NGOs) for WRD/NGOs SocialINTERACTION social mobilization is the corner stone for the Expert, PICU,

various sub-project activities and for the MPWSRPSuccessful achievement of project objectives. Itis expected that boftom up planning processesfocusing on community initiatives will givegreater sense of participation and ownership toall. Farmer groups, who will then be betterdisposed to seeking benefits of the MPWSRP.


2. STAGE I - PRE-PLANNING

This Chapter describes the SEMF activities to be undertaken at the Pre Planning Stage, the Roles andResponsibilities and Outcome of this stage.

2.1 SEMF ACTIVITES

Sub-project Activities Who will be involved Co-ordinator

To arrange training and information dissemination WRD and other line EE, WRD with the helpmodules for Preliminary Sensitisation Sessions. department of Information

Management Cell

Assessment and Updating of Initial Knowledge WRD EE, WRD with the helpBase Data through GIS. of Information

Management Cell

Sensitisation of WRD sub-project staff and Sample WRD PR & Media Experts,Reconnaissance Surveys along with WUA PICU, WRD with EE,members and other line department officials, WRD

Identification of Key Stakeholders in the sub- WRD EE, WRDproject,

Preliminary Consultations with identified WRD and other line EE, WRDstakeholders through sensitisation of WUAs, departmentvillagers (including schedule tribe) and trans-human population regarding environment andsocial issues as found relevant to the sub-project,Include PRA Technologies for mapping andensuring interactive sessions.

Identification of civil works/ activities to increase WRD, WUAs and other EE, WRDwater productivity, line department

Collection of baseline engineering, environmental WRD and other line EE, WRDand social data with regard to the Screening departmentFormats -SC1 (for Sub-Project Prioritisation) andSC2 (for Application of Legislative Policies)

Prioritisation of projects through SCI and WRD and other line EE, WRDidentification of Legislative & WB Policies being departmenttriggered due to proposed project interventions.

Selection of Projects to be taken up for Planning WRD and other line EE, WRDand Design and finalising the procedures to ensure departmentcompliance with the triggered Legislative and WBPolicies.

2.2 OUTCOMES OF STAGE 1:

The Outcomes of this stage are:


-n M 0 SEW'Tnlfton

1. Enhanced Awareness among the SPIG, WUAs and the villagers regarding SEMF resulting in activeparticipation and provide informed solutions.

2. Projects identified through screening and scoping, to be taken up in priority and the time and cost implicationsto comply with Legislative and Bank Policies being triggered by interventions in each sub-project.

2.3 SCREENING FOR SUBPROJECT ATTRIBUTES

Information to be collected for undertaking prioritisation of critical sub-project attributes and the

classification for rating of attributes are given below. Sub-project attributes with high scores shall betaken up for improvement as a priority due to high level of degradation and multiplicity of issues and

stakeholders.

Sub-project attributes Who will be involved Co-ordinator

3. Age of the Project: The age of the projects have been EE, WRD Informationclassified into four categories namely less than 10 years. 10 Managementto 30 years, 31 to 50 years and more than 50 years. Cell

4. Utilisation of Irrigation Potential Created: This EE, WRD Informationattribute indicates the efficiency of project in productive use of Managementwater. The utilisation of irrigation potential has been Cellcategorized into three categories, namelyl less than 40%,40% to 60%, and above 60% and worst performance hasbeen rated at the highest level.

5. Status of Dam and Appurtenances: Most of the EE, WRD ,Director, Damschemes earthen dams, which have degraded due to Safety Cell,deferred maintenance. The level of degradation has been MPWSRPclassified into three categories viz. severely degraded (3),moderately degraded (2) and minimum degradation (1).

6. Efficiency of Canal Water Delivery: The efficiency of EE, WRD Incharge CE,canal water delivery varies depending on various factors and WRDis indicated by lack of canal water delivery to the tail end,moderate to high canal conveyance losses, poor control overthe water flows in the canal etc. Accordingly the efficiency ofcanal water delivery has been classified into three categoriesnamely:

a - Moderately reliable canal water delivery with minimum to EE, WRD with the help of Incharge CEmoderate canal losses Information Management

Cell

b - Unreliable canal delivery with moderate canal losses with EE, WRD with the help of Incharge CEtail reach of the command area receiving minimum or nil Information Managementwater supply Cell

c - Unreliable water delivery with high canal losses with EE, WRD with the help of Incharge CEmiddle reaches minimum water supply and tail reaches out of Information Managementcommand area Cell

. Supplemental Irrigation through tubewells, tanks EE, WRD Inchargeand stop dams: In many of the projects the canal water CE,WRD


mSEWTTinafftol


supply has been augmented through linking village tanks,deep tube well or a stop dam linked with the existing canalsystem to augment the canal system. The results of suchaugmentation have been varied. This factor has to be takeninto consideration which screening the project. Threepossible scenarios have been considered viz., Minimumsupplementary irrigation (1) Supplemental irrigationarrangement exists but lack efficiency and effectiveness dueto poor desig- and maintenance (2), Extensive use oftubewells, ponds and stop dams (3).

Use of Project Facilities for Other Uses: The use of EE, WRD CE, WRD &project facilities like the reservoir, canal falls etc for other CE, BVPPuses like fisheries, urban/industrial water supply, andhydropower generation. This could be perennial or seasonaluse depending upon the availability of water. Any positiveimpacts on the availability of water due to appropriateinterventions would enhance the alternate uses of water.Consequently the water use around the year for different non-irrigation use has been given the highest rating.

* Catchment area degradation and reservoir EE, WRD,DFO, Forest Incharge CE,siltation: There are environmental problems like Catchment Dy. Director, Agriculture WRDarea degradation & siltation in the reservoir prevent and Soil Conservationenhancement of benefits of water use to the beneficiaries by officer if anyreducing the available reservoir storage. Any intervention inthe project rehabilitation would mitigate this adverseenvironmental situation. Thus project with seriousenvironmental problem need to be given higher priority.Three categories of situation have been considered forscreening namely Minor (1), Moderate (2) and Serious (3).

* Command area degradation through lack of EE, WRD Incharge CE,drainage system: Lack of drainage facilities lead to water WRD and SE,stagnation along the canals and if there is serious leakages Ayacutfrom the canals & canal structures then the problem getscompounded. The end impacts would be increase in thewater table levels and soil salinisation. Any proposedinterventions under MPWSRP has to take into considerationthe existing situation with regard to this problem and plan formitigation measures along with the implementation program.Consequently the screening process would consider threecategories of situations namely Minor (1), Moderate (2), andSerious (3).

* Deficiencies in Operation & Maintenance: The EE, WRD Incharge CE,deficiencies in the 0 & M of the irrigation & drainage schemes WRD and SE,have been categorized under three types namely minor, Ayacutmoderate and serious.


S£ENT (Fina(torl


* Weak Institutional Set up: There is a need to EE, WRDstrengthen the WRD, the other line agencies (e.g. agriculture,horticulture, animal husbandry, fisheries, etc.), and WUAs onvarious aspects of effective service delivery.

1 - Minor deficiency EE, WRD Incharge CE

* 2 - Moderate deficiency likely to deteriorate quickly if EE, WRD Incharge CEno mitigation action is not taken within next 5 to 7years

* 3 - Serious deficiency having adverse impacts on EE, WRD Incharge CEthe performance of the scheme and requiresimmediate mitigation measures

* Presence of Tribal Households: Benefits to tribal EE, WRD, Dy. Director, Districtpopulation from these irrigation projects are an important Tribal Welfare Collectorsocial objective. Their presence in the project area willnecessitate appropriate modifications in the projectinterventions. Giving this aspect due importance, higherpercentage of tribal cultivators has been accorded higherattribute rating. The category rating is based on thepercentage of tribal population to total population ofcommand area villages namely, (1) less than 10%, (2) 10 to15%, and (3) Above 15 %.

FORMAT SC1 - Screening for Sub-Project Attribute Prioritization

Sub-project attributes with high scores shall be taken up for improvement as a priority due to high levelof degradation and multiplicity of issues and stakeholders.

Project Name:

Sr.No. Sub-project Attribute Rating1 Age of the Project 1 - Less than 10 years

2 -11 to 30 years3 - 31 to 50 years4 - More than 50 years

2 Level of utilization of potential 1 - More than 60%created 2 - 40 to 60%

3 - Less than 40%3 Status of Dam and 1 - Minimum degradation & requires minimum repairs

appurtenances 2 - Degraded and serious seepage losses from the reservoir andrequires repairs in next 3 to 5 years3 - Severely degraded and requires immediate repairs and is a safetyhazard

4 Efficiency of canal water delivery 1 - Moderately reliable canal water delivery with minimum to moderatecanal losses2 - Unreliable canal delivery with moderate canal losses with tail reachof the command area receiving minimum or nil water supply


SEWF Fina(9port

Sr.No. Sub-project Attribute Rating3 - Unreliable water delivery with high canal losses with middlereaches minimum water supply and tail reaches out of command area

5 Supplemental irrigation through 1 - minimum supplementary irrigationtubewells, tanks, and stop dams 2 - Supplemental irrigation arrangement exists but lack efficiency and

effectiveness due to poor design and maintenance3 - Extensive use of tubewells, ponds and stop dams

6 Alternate use of water (Fisheries, 1 - Not at allmunicipal water supply etc) 2 - Moderate and seasonal use

3 - Extensive use round the year7 Catchment degradation and 1 - Minor Problem

reservoir siltation 2 - Moderate Problem3 - Serious Problem

8 Lack of drainage system, water 1 - Minor problemlogging, and rise in the ground 2 - Moderate and seasonal problemwater table 3 - Serious problem with continuous trend of deterioration in land

quality9 Deficiencies in the operation and 1 - Minor Deficiency

maintenance: Lack of hydraulic 2 - Moderate deficiency but likely to deteriorate quickly if no mitigativeand hydrological monitoring, action is not taken within next 3 to 5 yearsInadequate communication 3 - Serious deficiency having adverse impacts on the efficiency ofsystem, Lack of trained staff, scheme and requires immediate mitigative measuresinadequate funding

10 Weak Institutional set up: Weak 1 - Minor deficiencyand apathetic WUAs, Inadequate 2 - Moderate deficiency likely to deteriorate quickly if no mitigativeawareness among stakeholders, action is not taken within next 5 to 7 yearsLack of participation of women in 3 - Serious deficiency having adverse impacts on the performance ofdecision making process at the scheme and requires immediate mitigative measuresvillages, poor supportinfrastructure

11 Relevance of the tank to 1 - Noimportant historical / 2 - Yesarcheological and religious siteswith in the project area

12 Tribal Population as a % of total 1 - Less than 10%population with in the project 2 - 10 to 15%command area 3 - Above 15 %

13 History of Conflicts (as 1 - Below 10% of project areapercentage of project area 2 -10 to 25% of project areaaffected) 3 - Above 25 % of project area

14 Proportion of Marginal & Small 1 - Below 10%Farmers to total farmers (in 2 -10 to 25%percentage) 3 - Above 25 %

2.4 SCREENING FOR ENVIRONMENTAL AND SOCIAL ISSUES AND AEGUARDMEASURES

The following Screening Matrix is to be applied to identified schemes in the phased sub-basins toassess the application of GOI/GoMP Legislative and World Bank Policies on sub-project interventions.

FORMAT SC2- Application of Legislative Policies

Project Name:


11~s£ETq' TinahWaporn

Si. List of Questions If YES NO If UnsureNo

SECTION ASCREENING GUIDELINES ON ENVIRONMENTAL ISSUES

I Forests I biodiversityI Does the activity involves destruction, exploitation or removal of any wildlife Requires Consult District

from a sanctuary or destroys or damages the habitat of any wild animal or Clearance Forest Officerdeprives any wild animal of its habitat within such sanctuary from Gol

Comments11 Dams2 Does the activity involve a dam (existing or new) of 10 meters high or more Requires Dam Consult WRD

Safety Plan Dam SafetyExpert

Comments4 Will agriculture intensification lead to use of banned pesticides as identified in Requires a Consult WRD

UNEP Governing Council Decision 19/13C Pest AgriculturalManagement ExpertPlan

Comments3 Does the activity totally eliminate indigenous races of food crop Consult WRD

AgriculturalExpert

Comments4 Does the activity spread of Vector of diseases of livestock Consult District

AnimalHusbandryDepartment

CommentsIV Land5 Does the activity cause risk of floods and damage to downstream resources Consult WRD

EnvironmentalExpert

CommentsSCREENING GUIDELINES ON SOCIAL ISSUES

1 Does the activity involve land acquisition, resettlement or construction on Requires a Consult Districtprivate land, unless there is consensus among all Resettlement Revenue

Plan DepartmentComments2 Does the activity involve resettlement or other adverse impacts on tribal or Requires Consult District

indigenous people IPDP TribalDepartment

CommentsV Concerning Cultural Property3 Does the activity cause damage to places of religious importance and historical Requires a Consult State

monuments and cultural property. Cultural ArchaeologicalProperty DepartmentPlan

Comments4 Does the activity have any adverse impacts on women like increase in work load Requires Consult WRD

Gender Social ExpertAction Plan

CommentsSECTION B

VI I Other Social Issues lComments


I . &ESEMi iFi afon

Project Name:

* List of Questions If YES NO If UnsureNo

4 Does the activity have any adverse impacts on the health of the people? Consult WRDSocial Expert

Comments5 | Does the activity restrict the rights of the people over common property Consult WRD

resources? Social ExpertComments6 | Does the activity introduce/promote child Labour? Consult WRD

Social ExpertComments

7 | Does the activity exclude the vulnerable from the benefits? Consult WRD

Social ExpertComments8 | Does the activity involve production, storage and consumption of tobacco, Consult WRD

drugs, alcohol, etc. Social ExpertComments

Note: These screening data will be further refined as implementation proceeds and will be collated in electronicform for integration into the GIS-based information management system.For Section A: If any of the answer to the questions is 'Yes"then the corresponding EIA or Action Plans have tobe prepared as a part of sub-project and incorporated into the Draft plan and only then implemented. The EIA willbe carried out by Department or by external agency. If answers to all questions are "No" then project can be takenup for the next stage with management measures as illustrated in SEMF.

The relevant Action Plans consist of the following:

* Tribal Development Strategy,

* Gender Action Plan,

* Resettlement Plan,

* Pest Management Plan,

* Cultural Property Management,

* Community Consultation and

* Dam Safety.

For Section B: if some of the answers to the question is "Yes" the physical intervention can still be taken up butonly after adopting appropriate management measures. If answers to all questions are "No" then project can betaken up for the next stage with management measures as illustrated in SEMF.Persistent Orqanic Pollutants: Aldrin, Toxaphene, DDT, Chlordane, Deadline, Endrin, HCB, Heptachlor andMirex (Nine Pesticides in the initial list of the Stockholm Convention on POPs)

25 MONITORING INDICATORS

Monitoring at this stage of the project shall be limited to Process and Output Indicators. Theseindicators are in addition to the to those collected under the Screening Formats. Indicators listed out inthe SEMF shall be reviewed periodically and fine-tuned during implementation of the project.I Process Indicators (Monitoring Agency) I Output Indicators (Monitoring Agency)


Number of Reconnaissance visits (PICU) Salient Features and Spatial Location of problems on sketches/ toposheetsNumber of consultations/sensitization & sub project maps (PICU)Meetings (PICU) Listing of Key non-spatial issues (PICU)Photographs/Recordings and signed List of stakeholders and level of stake (PICU)minutes at consultations (PICU) List of agreed intervention measures for each sub project (PICU)

List of required Action plans or EIA requirement (PICU)


3. STAGE 2 - PLANNING & DESIGN

This Chapter describes the SEMF activities to be undertaken at the Planning and Design Stage, the Roles andResponsibilities and Outcomes of this stage.

31 SEMF ACTIVITIES

Environmental and Social Assessment (ESA) at the sub-project level/sub-basin level by SPIG includingWUAs - Tool to be used is IMPACT Assessment Matrix- IAM & SEMF Table.

The SEMF activities to be undertaken at this stage shall be undertaken by the SPIG or along withExternal Agencies (as per the requirements of the Screening Stage). EIA documents (required for Golclearance), State clearances and Action Plans as identified through the Screening Matrix SC-2 shall beprepared along with the engineering surveys. PICU experts shall advise the SPIG, based on scheme-specific needs, the additional sub-project activities to be carried out at this stage.

The activities include the following:Sub-project Activities Who will be involved Co-ordinator

Training and awareness programme about project objective Other line EE, WRDdepartments, WUAs

Inform stake holders including line department to ensure their Other line EE, WRDparticipation in Joint Walkthrough departments, WUAsJoint Walkthrough and consultations and analysis of alternatives Other line EE, WRD

departments, WUAsPresence of line department officials must be ensured in Joint Other line EE, WRDWalkthrough departments, WUAsPhoto graphs and list of participants attended the Joint Walkthrough Other line EE, WRD

departments, WUAsMapping of issues including critical problems Other line EE, WRD

departments, WUAsLinkage between different social, environmental and other related issues Other line EE, WRDlike R&R and tribal etc.. departments, WUAsAnalysis of alternatives through consultations Other line EE, WRD

departments, WUAsFinalisation of short term and long term interventions separately Other line EE, WRD

departments, WUAsFormulation of the plan and estimate Other line EE, WRD

departments, WUAsPreparation of CPM-PERT chart from date of start to date of finish Other line EE, WRD

departments, WUAsBudgeting including environmental and social mitigation costs Other line EE, WRD

departments, WUAsFormulation of implementation plans in consultation with other line Other line EE, WRDdepartment implementing agency departments, WUAsMilestones for finalisation of Final Bills, Final drawings Other line EE, WRD

departments, WUAs



Milestones for date of preparation and finalisation of ICR should be Other line EE, WRDfinalised departments, WUAs

Consultation with identified stakeholders for suggestions on the plan Other line EE, WRDdepartments, WUAs

Photographs and signed minutes of meeting along with list of participants Other line EE, WRDdepartments, WUAs

Appraisal and comments of the plan from the concerned Basin Chief Other line EE, WRDEngineer as per checklist for over all review of draft plan departments, WUAs

Incorporation of Chief Engineer's comments in the plan Other line EE, WRDdepartments, WUAs

Consultation with identified stakeholders for finalisation the plan Other line EE, WRDdepartments, WUAs

Photographs and signed minutes of meeting along with list of participants Other line EE, WRDdepartments, WUAs

Submission and appraisal of the plan to the PICU through basin Chief Other line CE, WRDEngineer departments, WUAs

Appraisal of plan by PICU as per checklist for over all review of draft plan Other line CE, PICU,departments, WUAs WRD

Preparation of the Action Plan for Implementation procurement Other line EE, WRDprogramme departments, WUAs

Development of MoU with WUA and other Line agency with plan estimate Other line EE, WRDand schedule departments, WUAs

Outcome of Stage 2: Planning- PICU will appraise Proposal/action plan recommended by the BasinCE, for Implementation in compliance with SEMF. WUA will accept the appraised plan and sign MoUwith EE, WRD/other line agencies.

3.2 IMPACT ASSESSMENT MATRIX - tAM

The Impact Assessment Matrix (which will be further refined during implementation) is to be filled up bySPIG for identification of Impacts of intervention measures. Linkages among various critical issueshave been identified during joint walk through and are addressed in the inter-activity and inter-areaImpacts in a flow chart. (Resettlement & Rehabilitation impacts have already been considered in theprevious stage. In case such issues surface at this stage they may be taken up separately inaccordance with the guidelines of the previous stage.)

3.3 SOCIAL & ENVIRONMENT MANAGEMENT FRAMEWORK - SEMF

The SEMF table will be used as reference for mitigation measures that may be required for negativeImpacts identified through the IAM. The SEMF table provides comprehensive list of subprojects /activities, their possible negative Impacts and Outcome & Impacts monitoring indicators.

The SPIG comprises of Field formation of WRD, Line departments and PCs / DCs / WUAs, that will befacilitated by MDT/NGOs during Step 2 for identifying the Impacts and selecting sub-project activities.


9SKE!M TFina(tport

3.4 CHECK UST FOR APPRAIL OF DRAFT SUB-PROJECT PLAN

The Checklist for appraisal of Draft Sub-Project Plan shall be filled by the SPIG and reviewed by theBasin CE. On satisfactory compliance of the provisions mentioned the CE shall recommend the planto the PICU for final appraisal against environmental and social safeguard requirements.

3.5 MONITORING OF INDICATORS

Monitoring of indicators at this stage shall be restricted to Process and Outcome Indicators aspresented in the Table on Monitoring Indicators.

Madhya Pradesh Water Sector Restructuring Project 3,3

- SEF Thina(porl

IMPACT Assessment Matrix (IAM)Put X for negative Impacts and .\for positive or no negative Impacts.

IMPACTS OF Int Int Mitiga JustificACTIVITIES er er tion ation

SUB-PROJECT 0 act ar meas for! DO ¢< s t m2 Z n -o rL -a ° U M I

*) 0 E c 0. * Uo - * ** *ACTIVITIES = _ U) ivit ea ures* decisio0 ) _u I 0 L) I y IM n

PA ACT C

TIRRIGATION & DRAINAGE REHABILITATION

LimitedCatchmentTreatmentDamEmbakmentstrengtheningWaste weirrepairsHead sluicerepairsCanalsembakmentrepairs.CanalStructuresrepairsService Roadconstruction/repairsWater CourseField Channelconstruction.


'V= S£EWF TFhna( ?jTon

IMPACTS OF Int Int Mitiga Justific

ACTIVITIES er er tion ationSUB-PROJECT, 1E act ar meas for

CL a4, . .~, : 0 0F 4

ACTIVITIES = E= E s E c 4, > ivit ea ures* decisioy IM. E na 0c E20 0 05 IM PD

PA ACT C

T

ReservoirfisheriesexpansionPond fisheriesexpansionAGRICULTURE

Cultivation ofHYVs,Introduction of(cash crops /vegetables/Medicinal plants)Introduction ofIPM / INMtechniquesIntroduction ofHorticulturalcropsIntroduction ofFodder trees/shurbs IgrassesLIVESTOCK & ANIMAL HUSBANDRY

Live stockBreedimprovementLive stock Stallfeeding

3-5

&4ihya Pradesh Water Sector Restructuring Project

- SEW Thaina porn

IMPACTS OF Int Int Mitiga JustificACTIVITIES er er tion ation

SUB-PROJECT 0 E ~act ar meas forACTIVITIES °0 -a 0 *a . ! ° ivit ea ures* decisio

rn en < a) 0n az CnD z L 'Z °¢3<r°e L LL a 7i y ln3 M nIM PM

PA ACT C

TDevelopment ofveterinaryfacilitiesOTHER INCOME GENERATING ACTIVITIES

As applicable inthe sub-projectsite

3-6

l4Ihya Pradesh Water Sector Restructuring Project

ID Environmental & Social Impacts ID Environmental & Social Impacts

Soil e Soil Erosion/Gully Formation Aquatic Aquatic life

Soil q Soil Quality Biodvty Biodiversity

Soil m Soil Moisture Solid W Solid waste

Siltn Siltation Fertlzr Fertilizer use

SW qt Surface Water Quantity Pestcd Pesticide use

SW ql Surface Water Quality Displace Displacement

GW qt Ground Water Quantity Livlihd Liviihood

GW ql Ground Water Quality CPR Common Property Resources

W log Water logging SC/ST Scheduled Caste / Tribe

W sep Seepage /Leakage Women Workload on women

Air PoIn Air Pollution Child lbr Child Labour

Noise Noise Pollution Conflct Conflict

Forest Deforestation Pub Hlth Public Health

Weed Weed growth CultrI Cultural Properties

Wild If Wild life Values Aesthetic / Religious Values


Linkages among various critical issues identified during joint walk through / address inter-activity and inter-areaIMPACTs in IAM

Water Cause Environmental Social ImpactsComponents (Natural/Anthropogenic) lmoacts+ 4 +

Catchment -Land/Soil Sloping land, crop field Loss of soil cover, floods Loss to property, lives andbunds not maintained, > due to siltation of natural loss of fertile landfrequent ploughing drainage area

Submergence- WaterNVeed/Siltation/loss of Weed Growth, Poor Water quality, Shortage of water, water pollution, silt Low Fish producton, potablewatercostAquaculture/Flora-fauna siltation & inlet of untreated wastewater erosion due to tank bed cultivation increased, more workload on women andA t r + children to collect potable water, water bom

DmLekg/Lack of dam safety Shortage of waterDam- Leakage/ watepollution, Water Loss of crop due to

m logging shortage of water

Canl/WtermeieyLc fmitnneo Low banks, silted bed, over Water conflicts increases,system 0 canal due to inadequate b or under canal section, loss of crop productionbudget provision excessive seepage, water adversely affect economy

Agriculture/Horticulture/ Use of fertilizers, pesticides Water pollution, low yield, Low Productivity, loss inFarming system 0 discounted cultivation of b low resistance to insect W income, labour migration

local crops, drought, pest disease

Livestock Lack of quality fodder, lack Low milk yield, prone to Malnutrition, poverty0 of proper health care diseases

HumanCan't cope %with the change | Increase vulnerability, health Increased social conflict, poverty, prone

in environment nrnhlam to diseases, migration

Hydro-power Lack of participatory approach will Loss of land for infrastructure Extra burden, At present powercreate problem in O&M and drainage problem may is free up to 5 HP pumpcreate due to changes in existing


SEMF TABLERecommended Mitigation/Enhancement Measures Monitoring Indicator (Agency

Activity (Agency Involved) Involved)Concerns Opportunities

Irrigation * Non-inclusion / Least importance to . Improvement of . Develop environmental guidelines for MPWRD activities and . Change in attitude of stake holdersSystem views of stakeholders vulnerable groups eventually revise irrigation manual accordingly (WRD) (WRD)

Rehabilitatio * Problems of groups adversely affected (women, tribal, landless, * Develop coordination with all stakeholders (WRD) . Works undertaken under dam safetyn - Overall by change in the hydrological regime etc.) * Require Joint walkthrough and stakeholder consultation (WRD)

* Inadequate targeting of generalized * Wetland conservation process and MOU before physical rehabilitation (WRD) * Change in drainage pattem (WRD)measures and management * Prepare environmental data base for the irrigation and * Change in method of irrigation

* Non-consideration of dam safety . Improve management drainage system (WRD) (WUA's)* Possible land acquisition strategies for dam safety . Implement dam safety plan of all dams and ensure . Change in attitude of silt disposal* Possible impacts on cultural property plans mechanism for regular monitoring plan (WRD, WUA's)* Possible negative Impacts caused by * Enhancement & Control * Develop detailed rehabilitation plan as per the project R&R . Reduction in loss of water (WRD)

poor drainage measures for religious framework consistent safe guard policies of worid bank * Increase in command and crop* Improper disposal of silt uses of reservoirs . Apply the cultural property action framework for the project production. (Agriculture, WUA's)* Improper location of Borrow Pits and * Reduction in loss of * Prepare silt disposal plan . Equitable distribution of water

construction material quarries. water by proper * Strengthen WUAs to run the delivery system independently between head and tail reach of* Unplanned and flooding method of maintenance of Dam and (WRD) command. (WUA"s)

irrigation leads to increased canals. . Develop on farm development and encourage barabandigroundwater levels or water logging * Improvement in water . Develop participatory approach and promote Public-Private

* Leakage of water from canals. distribution techniques partnership (WRD)* Reduction in conveyance capacity in for better distribution of . Rehabilitate project to ensure water delivery effectively to

canal due to lack of maintenance. facilities. control groundwater levels or water logging (WRD)* Loss of water due to its non-utilization . Include environmental mitigation & enhancement clauses in

during kharif period. the contract (WRD). Training and Awareness-building (WRD)

Engineering * Involvement of different administrative . Proper coordination . Ensure strict watch and ward of delivery system till it is . Reduction in conflicts amongworks for units may lead to conflicts within between inter-state and completely transferred to WUAs (WRD) various administrative boundariesscheme different stake holders inter-district stakeholders * Improve security and law-order situation in inter district (WRD)

modemizatio . Lack of communication facility leads to * Adequate communication delivery system to avoid conflicts within stake holders . Refer Chapters 6 to 12, SEMFn (Major, delay in resolving conflicts & wastage of system (WRD) ReportMedium & water from delivery system . Operation and * Develop strong communication linkage with District

Minor) . Potential impacts on R&R, cultural maintenance manual for administration and line department (WRD)property, not addressing dam safety WUA's * Increase frequency of visit of line department officials inadequately, inadequate consultation command (In Line Departments)(especially with SC/ST, women & other * Strong & Efficient Project & District Committees to managevulnerable groups, construction related the system through added Training & Department Supportimpacts, etc. (WRD)

* Ensure adequate conflict management for R&R* Ensure strict watch and ward of delivery system till it is


!- \.9 S;EgdFTFizalqpoil

Possible Social & Environmental Impacts Recommended Mitigation/Enhancement Measures Monitoring Indicator (AgencyActivity (Agency Involved) Involved)

Concerns Opportunitiescompletely transferred to WUA's (WRD)

* Rehabilitate delivery system to ensure adequate and timelysupply of water (WRD)

. Refer Chapters 6 to 12, SEMF ReportAGRICULTU * Loss in soil moisture. . Improving . Promote regular testing of soil to know the soil health . Damage to crops (resistanceRE/INTENSIF . Loss in soil fertility (Nitrogen, Carbon, environmentally-friendly . High nutritional value traditional crops should not be totally against diseases, frost, drought etc.)

ICATION etc.). and organic farming replaced by high yielding varieties. (AGRICULTURE) (Agriculture)* High cropping * Soil and water pollution due to * Change cropping . Rotation of crops with leguminous crops (pea, lentil etc.) will . Production of grain, straw and other

intensity increased use of pesticides and pattems and irrigation maintain soil fertility. (AGRICULTURE) plant products (Agriculture)* Introduction of fertilizers management to use less * Use of bio-compost, organic mulch (Green manure) and - Quality of production (taste, odour,

HYV's . More demand of water for irrigation and water vermi-compost to use of permissible chemical fertilizers and colour, perishability etc.)* Crop competing demands on * Encourage cultivation of pesticides in accordance with Pest Management Plan (Agriculture)

diversification surviving/existing sources, which are fodder. (AGRICULTURE) * Increase/decrease in per unit landused for drinking. * Promotion of agro-forestry to maintain biological fertility of economic benefits (Agriculture)

* Pressure on local forests/ vegetation for soil. (AGRICULTURE) * Changes in nature of soil (fertility,fodder for animals and packaging . Selection of low water demanding crops and rain water hardness, moisture, colour etc.)material. harvesting; storage of surface water (of streams, nalla, etc.) (Agriculture)

* Loss of traditional / indigenous practices through water storage ponds will help harvest more water . Quantity of seeds producedof crop cultivation. for use in HYV cropping. (AGRICULTURE) (Agriculture)

* HYVs are labour intensive and bring * Introduction of altemative crops/ income generation * Reduction/increase of soil erosionmore workload on women. activities for women and other vulnerable groups in and water runoff (WRD)

* Marginal groups (landless accordance with the Tribal Development Strategy and the * Increase / decrease in work load onfarmers/labourers) will less benefit, Gender Action Plan. (AGRICULTURE) women (WRD, NGO's)since they do not have enough land for * Plantation/protection of pest controlling plants (Marigold, * Number of local crop varietiesagricultural intensification. etc.). (AGRICULTURE) grown and area under them

* Due to monoculture chances of crop . Leveling of crop fields and maintenance of terraces / bunds (Agriculture)failure due to frost/fog, insectpest and to check water runoff and soil loss (AGRICULTURE) * Increase/ decrease in the use ofdiseases. . Plantation of fodder species in the uncultivable wastelands non- chemical applications e.g.,bio-

* Discontinuation of barter system and will supplement fodder. (AGRICULTURE) pesticides, mechanical, culturalmore dependency on extemal resources * More participation of males in agricultural activities will activities (Agriculture)/ agents and, therefore, loss of self- reduce workload on women. (AGRICULTURE) . Changes in water quality (bothdependency. . Rotation of crops periodically will restore the soil fertility. surface water and ground water)

* Possibility of loss of local races/ (AGRICULTURE) (WRD, SPCB)cultivars /gene pools/ crop varieties . Use of waste bio-products for packaging (AGRICULTURE)Conflicts among the neighboring . Protected cultivation (use of polyhouse, polypit, polytrench,farmers due to the shade cast from etc.) will reduce the chances of HYV crop failure.vegetative field boundary (AGRICULTURE)


SE9M07 Thza(fRpoil

Possible Social & Environmental Impacts Recommended Mitigation/Enhancement Measures Monitoring Indicator (AgencyActivity (Agency Involved) Involved)

Concerns Opportunities

HORTICULT . Soil water contamination due to use of * Promote value added . Lesser use of permissible chemical fertilizers / pesticides . Increase or decrease of productionURE chemical fertilizers, pesticides and crops will reduce chances of soil contamination and water of fruits and other plant products

DEVELOPME herbicides. * Promote less water pollution. (HORTICULTURE) (Agriculture/Horticulture)NT . Increase in water consumption, requirement fruit crops . Higher use of bio-fertilizers (bio-compost, vermi-compost, . Quality of production (taste, odour,

therefore depletion in water resources. microbial inoculants, etc.) and bio-pesticides will reduce colour, perishability etc.)f The marginal landholders and land less chances of soil contamination and water pollution (Agriculture/Horticulture)fniitcrops will less benefit, as they do not have (HORTICULTURE) . Increase / decrease in economic

enough and to bring under horticulture. * Selection of crops with high efficiency in water utilization benefits per unit landMedicinal . Possible eruption/increase in anti-social and high yield will reduce pressure on water use. (Agriculture/Horticulture)plants practices such as drinking due flow of (HORTICULTURE) * Damage of crops against diseases,

cash after harvest. * Rain water harvesting; storage of surface water (of streams, frost, drought, etc.Floriculture . Health hazards due to more use of nalla, etc.) through water storage ponds will supplement to (Agriculture/Horticulture)

chemical fertilizers & pesticides water needs in HYV cropping.. (HORTICULTURE) . Increase/ decrease in the use of. Preference in employment (labour) to marginal groups. non- chemical applications e.g.,bio-

(HORTICULTURE) pesticides, mechanical, culturalactivities (Agriculture/Horticulture)


SE9WV TinaiWaporl

CHECK LIST FOR APPRAISAL OF DRAFT SUB-PROJECT PLAN

(To be prepared by SPIG and reviewed by Basin CE and then by PICU)Si. No. Items Yes No Remarks

1 Was collection of base line data for proposed plan and OK Stateidentification of stakeholder was done at planning stage? Reasons

2 Were Joint Walk through & Stakeholders' Consultations OK Stateundertaken? Reasons

3 Does the Plan deviate from the original DPR? State Reasons OK

Is the proposed Plan for the implementation violating laws, State Safeguard4 acts, and regulations of Govt. of M.P., Govt. of India and measurd OK

World Bank safe guards in any way?Have Gol, GoMP clearance documents, SEMF Action

5 Plans been prepared as identified in the Screening OK ReasonsProcess?

6 Is the proposed plan in conformity with the budget OK Statedesignated or the sub projects and its activity? ReasonsHas the proposed plan for the respective project taken

7 care of present cropping pattern and present crop water OK Reasonsrequirements?Has the proposed plan for the respective project taken

8 care of Environmental & Social concerns and followed the OK StateReasonsESA procedures?9 Have adequate mitigative measures been undertaken for OK State

negative IMPACTs? Reasons

10 Has the responsibilities of implementation ensured? OK Reasons

Does the proposed plan for respective project create11 negative IMPACT on any vulnerable group - women, BPL, measures OK

SC, Tribal and transhumant communities, etc.?12 Does the proposed plan provide opportunities to marginal OK State

groups in training and capacity building program? Reasons

13 Does the proposed plan promote any conflict among the State Safeguard OKcommunities residing within the command area? measures

14 Does the proposed plan create conflict with the other line State Safeguard OKDepartment? measures

Does the proposed plan mention operation and Stat15 maintenance mechanisms for assets developed under the OK Reasons

project?Are the provisions for monitoring and learning sufficiently OK Stateelaborated in the proposed plan? Reasons

Certificate of Appraisal / Plans submitted by SPIG is found in order and appraised for implementationof the sub-project.


- SENT TinalW4qon

Reviewed & Recommended by Appraised by PICU

Basin Chief Engineer Authorised Signatory (PICU)

Monitoring IndicatorsProcess Indicators (Monitoring Agency) Output Indicators (Monitoring Agency)

Number of Joint walk through undertaken with photographs and Spatial Location of IMPACTs on revenuesigned minutes of the meetings mapsNumber of consultations/PRA exercises undertaken with List of non spatial IMPACTsTribal groups Alternatives consideredWomen Groups Details of mitigation measuresLandless and Marginal Farmers Details of Action PlansOther Stakeholders (PICU)Signed minutes of the consultation meeting with stakeholders onIMPACTs assessment and mitigation measuresMOU between WRD and WUA and other Line Agencies

Guidelines for preparation of apprised plan after the above formats are duly filled and checked:

1. If the project satisfy safeguard policies of The World Bank, GOI and GoMP, which are covered inabove formats, the issues identified in a joint walkthrough will be listed by SPIG and will be markedon Index map.

2. These issues will be analysed as per priority and participation basis for asset improvement.

3. The above issues will be critically analysed and alternative analysis with the help of IAM will bedone by SPIG.

4. On the basis of final short listing of the sub project activity by SPIG the estimates will be preparedand submitted along with drawings, index map indicating problems and suggested measures.

5. The asset improvement plan will also refer Dam Safety Plan, Pest Management Plan,Cultural Property Management Plan, Resettlement Policy Framework and Action Plan, TribalDevelopment Strategy and Action Plan, Gender Action Strategy, Consultative Strategies(community sensitization tools (PRA/PLA) and community based environmental meetings)

6. This plan will be submitted to Project Implementation Coordination Unit (PICU) with a checklist dulyfilled and signed by Executive Engineer and WUA president Unit through concerned ChiefEngineer of the basin.

7. The Social and Environmental clearance of the project will be given by PICU and its technicalsanction will be accorded as per provision given in the manual.

Madhya Pradesh Water Sector Restructuring ProJect 3-13

4. STAGE 3 - IMPLEMENTATION

This chapter describes the SEMF activities to be undertaken at the Implementation Stage, the Roles andResponsibilities and Outcomes of this stage.

4.1 SEMF ACTIVITIES

The primary tasks in this stage are implementation of sub projects alongwith proposed managementmeasures in conformity to the Sub-Project Plan and additional Action Plans prepared along with.Monitonng of Process and Outcome indicators (See Table in next Chapter) shall be conductedbefore commencement and during the implementation of sub-project activities. The results shall beused as lessons for improvement of the implementation process in subsequent sub-projects.Sample Contract Clauses for inclusion in the Main Contract are given in the following paragraph.The procedure is listed in the following table.

Sub-project Activities Who will be involved Co-ordinatorProcurement documents and procedures followed and contracts Implementation agency Procurementawarded & equipment procured Expert, WRDFund Flow EE, WRD Procurement

Expert, WRDQuality control of work with cross reference to O.K. Card' in Implementation agency CE, WRDIntegration of SEMFClose watch on works and ensure no adverse environmental and Implementation agency CE, WRDsocial impacts due to implementation of planWRD/Line agencies support to contractor / contracted agency will Implementation agency CE, WRDbe ensuredThe MDT/NGOs will continuously assist the Implementing MDT/NGO CE, PICUAuthority and WUAs in implementation of the Proposal.The WUAs/PCs and EE may monitor contract works or authorize WUAs /PCs and EE, CE, WRDthe consultants/NGOs to monitor processes and impacts at sub WRDproject level. However the consolidated monitoring and learning (M& L) report will be furnished by EE, In charge of Project todesignated project authority i.e. CE, Incharge, Basin and finally toPICU.Supervision of M & L activities in the area and documentation of Implementation agency CE, PICUlearningProvide technical inputs for activities facilitate in record keeping; Implementation agency MDTensure participation and capacity programs are in conformity withESG and Rehabilitation plan and the action plan for theImplementation Agency.Participatory monitoring and learning WUAs/PCs EE, WRDImpact evaluation by sample survey External Consultant EE, WRDCollation of all M & L in project area and outside project area. EE & CE, WRD and CE, PICUDocumentation of learning other relevant line

departmentsTraining to Field formation, WUAs CE, WRD and other CE, PICU

relevant line departmentheads

Income generating activities * (Agriculture, WUAs, MDTWRD, NGO's)

'OK Card is a system consisting of Formats and Checklists to be signed by appropriate authorities on completion of tasks to ensureAccountability and smooth flow of activities.


- 5EWTFinaRpon

Outcome of Stage 3 - Achievement of sub project activities in conformity with SEMF.

42 CONTRACT CLAUSES FOR ENVIRONMENTAL & SOCIAL SEGUARDS

To ensure environmentally and socially sound construction processes contract clauses need toinclude environmental and social criteria in the selection of the schemes to be rehabilitated / created.In order to incorporate such identified measures during the project execution stage these must find amention in the main contract clauses as a part of the works or precautions to be undertaken by thecontractor.

4.2.1 Irrigation & Drainage Asset Improvement Works

The major activities identified for Sub Project Asset Improvement are as follows:1. Rehabilitation of Dam structures and appurtenant works,2. Rehabilitation of irrigation tanks,3. Rehabilitation / realignment of main and branch canals, including lining, CD and control structures,4. Rehabilitation / construction of dam approach and canal inspection roads including bridges and culverts,5. Rehabilitation / construction of drainage, field watercourses, etc., and6. Development of hydropower in canal falls.

The sections below provide the Contractor information about the environmental and socialprecautions and activities to be taken concerning the Site and the Works and other facilities. Anyspecific issues to be addressed after formulation of ESA of individual sub projects need to besuitably added into the Contract. These include land appropriation safeguard measures,employment under the project for vulnerable groups, etc.

The following clauses need to be included in the DPR and Bid Documents in the Chapter on QualityControl.

The following Table gives the applicability of the clauses to various asset improvement measures.Si.No. Environmental Safeguard Clauses Irrigation & Drainage

Asset Improvement Works1 2 3 4 5 6

1 Labour Camps U U U U : U2 Borrow Pits, Quarries and Material Sourcing U U U U 0 C3 Protection Against Damage U 1 0 U U U4 Disposal of silt from canal bed - U U - - U5 Site Access and Tidiness U 0 U U U U6 Works Affecting Canal, Drains and Watercourses - U U U U U7 Concrete and Pavement Surfacing Materials Batching U U U U U U8 Explosive and Dangerous Substances U U U U 0 09 Pollution and Environmental Control U D U 1 U U U10 Emerging Arrangements U 0 U U U U11 Safety and Welfare Measures U U U U U U12 Archaeology and Built Heritage - U U U U U


LA LTs J Tqina'fqport

4.2.2 Labour Camps

The Contractor shall set up labour camps with adequate facilities before the start of construction tominimise stress on the natural resources and infrastructure of the surround locality. The facilities tobe provided into such camps should consist of the following:1. Semi permanent structures with adequate ventilation for the labourers,2. Electric supply, water supply and community latrines,3. Provision of Cooking Fuel wood, Kerosene or LPG to prevent stress on local biotic resources,4. Dispensary with First Aid Facilities specially for treating water related diseases,

The site plan of the labour camp shall have to be approved by the Engineer before setting up of thecamp.

4.2.3 Borrow Pits, Quarries and Material Sourcing

Where borrow pits for road works embankment materials and quarries for concrete and irrigationcanal or structures pavement materials are required the Contractor will locate them so as tominimize their impact on the natural environment and in particular agricultural activities. Onceabandoned a borrow pit or quarry will be left in such a way as to allow safe access and whereverpossible reinstated or drained to stop water ponding and minimize the spread of vector bornediseases. Material sourcing in environmentally or culturally sensitive areas will not be allowed untilfully detailed proposals have been prepared by the Contractor, submitted and approved by theEngineer. Materials falling with in this classification include fill materials and quarry stone, timberproducts, water and trees and shrubs for use in bioengineer construction solutions.

4.2.4 Protection Against Damage

The Contractor will take necessary precautions to avoid causing any damage to irrigation works,structure, canals, roads, lands, properties, trees and other features during the currency of theContract and will deal promptly with any complaints by owners or occupiers. Where any portion ofthe Works is close to, across, or under any existing apparatus of Public Utilities or other parties theContractor will temporarily support and work around under and adjacent to all apparatus in a mannerdesigned to avoid damage, leakage or danger and to ensure uninterrupted operation. Should anyleakages or damage be discovered the Contractor will immediately notify the Engineer and therelative Statutory Authority or owner concerned and the Contractor will afford every facility for therepair of replacement of the apparatus so affected. If private land or property is damaged due tonegligence of the Contractor, the cost of rehabilitation would be borne by the contractor.

4.2.5 Disposal of silt

After excavation of silt, clay, sand and soil from the canal beds the contractor shall store them away(e.g. from the canals) after removal of encroachments if any along the canals. If the soil quality isfound adequate for canal bund improvement or required by the local farmers the same may be soutilised. If not, they should be disposed in the borrow pits required for the construction works. Ifthere is concern about the quality of silt (e.g. if catchment has polluting sources of heavy metals), thesilt would be tested and suitable disposal arrangements made.

Madhya Pradesh Water Sector Restructuring Project 43

SESM (Fina(Wgport

4.2.6 Site Access and Tidiness

The points of access to the Site to be used in the construction of the works will be in the locationsdescribed in Contract. In so far as these points of access are unaffected by the Permanent Worksthese points of access and other access points which the Contractor wishes to use will be by hisarrangement and be part of the Contractors Temporary works. The Contractor will arrange forconstruct, maintain and afterwards remove and reinstate any points of access required for and inconnection with the execution of the Works. Reinstatement will include "interalia" for the completerestoration to at least the degree of security, safety, stability, drainage, etc., that existed before theContractor entered the Site. The Contractor will be responsible for the proper upkeep andmaintenance of the Site and the works. The Contractors labour camp will be located afterconsultation with the community representatives and construction materials and equipmentpositioned, stored and stacked in an orderly manner.

4.2.7 Works Affecting Canal, Drains and Watercourses

The Contractor will notify the Engineer in writing 14 days in advance of his intention to start any partof the Works affecting a irrigation canal, drainage canal or watercourse. The Contractor will beresponsible for maintaining these with in the site in effective working conditions at all times. TheContractor will take all practicable measures which will be to the prior approval of the Engineer toprevent the deposition of silt or other material in and the pollution of any canal, wetland, borehole,well, aquifer of catchments area arising from the his operations. No temporary works will beconstructed in or adjacent to a natural watercourse except in accordance with such details andworking conditions as may be approved by the Engineer.

4.2.8 Concrete and Pavement Surfacing Materials Batching

The establishment of concrete and pavement material batching plants will be at locations approvedby the Engineer. In principle they will be kept well clear of inhabited areas, agricultural lands,watercourses and the natural drainage system. After the Works have been completed the batchingareas will be cleared and as far as possible reinstated to a similar state to what they were originally.No rinsing of cleaning of batching plant or equipment will take place near or on watercourses.

4.2.9 Explosive and Dangerous Substances

No munitions and/or explosives or other dangerous substance will brought onto the Site of theWorks unless the Contractor has previously obtained the written approval of the Engineer. Thelocation of any explosives magazine and store of any other dangerous substance on the Site willreceive the written consent of the Engineer.

4.2.10 Pollution and Environmental Control

All vehicles and mechanical plant used for the purpose of the Works will be fitted with effectiveexhaust silencers and will be maintained in good and efficient working order. All compressors will be"sounded reduced" models fitted with properly lined and sealed acoustic covers which will be keptclosed whenever the machines are in use and all equipment in intermittent use will be fitted withmufflers or silencers of the type recommended by the manufacturers. All equipment in intermittentuse will be shut down in the intervening periods between works or throttled down to a minimum. TheMadhya Pradesh Water Sector Restructuring Project 4

SOETF 0:inaRftpon

Contractor will locate the construction vehicle and mechanical equipment depot well away fromexisting canals, wetlands and watercourses and take all the necessary precautions to ensure thatthey cause no pollution of the natural environment.

4.2.11 Emerging Arrangements

The Contractor will maintain arrangements where by he can quickly call out labour and plant outsidenormal working hours to carry out any work needed for and environment emergency associated withthe Works. The Contractor will acquaint himself and his employees with any relevant localarrangements, which are in existence for dealing with emergencies.

4.2.12 Safety and Welfare Measures

The Contractor will ensure that all safety and welfare measures required under or by virtue of theprovisions of any enactment or regulation or the working rules or any industry are strictly compliedwith. In particular the Contractor will that the Madhya Pradesh and/or United Nations InternationalLabour Standards be applied to the standard working hours unless instructed to the contrary by theEngineer. Child labour will also not be allowed.

4.2.13 Archaeology and Built Heritage

Should during the construction of the Temporary, Permanent Works or other facilities anyarchaeological or as built heritage infrastructure be encountered or uncovered the Contractor willcease work immediately and advise the Engineer accordingly. The Contractor will not commenceconstruction until the relevant Statutory Authority has assessed a full assessment of the importanceof the findings and an instruction to recommence work has been issued by the Engineer.

Madhya Pradesh Water Sector Restructuring Project 45

5S STAGE 4 - POST IMPLEMENTATION

This chapter describes the SEMF activities to be undertaken at the Post Implementation Stage, the Roles andResponsibilities and Outcomes of this stage.

5.1 SEMF ACTIVITIES

The primary tasks in this stage are to monitor the long-term impacts of the project (through ImpactIndicators) and draw lessons from the success and failures for improvement of subsequent sub-projectinterventions. Compliance of SEMF provisions has to be ensured through third party monitoring forverification of Completion Report. The procedure to be followed is listed in the following table.


The impacts of implementation on enhancing the productivity and Implementing Agency CE, WRDincome levels in the Rehabilitated project will be documented forlearning lessons that will be used to improve the provisions made inStep I and 11 in future projects.The Implementation completion report will be prepared by Implementing Agency CE, WRDImplementing agency along with Final Drawing and final bills of thework.The final monitoring Indicators will be incorporated in Completion Implementing Agency CE,WRDReport.Farmer's participatory role in revenue recovery is increased and Implementing CE,WRDawareness among individual farmers is raised. Agency, WUAsThird party survey will be conducted for the Ground verification work of Consultants/ NGOs CE,WRDCompletion Report.Training to WUAs, Staff involved in operation and maintenance and CE, WRD CE, PICUsharing experience and lesson learning from implementationexperience.

Outcome of Stage 4 - Completion of sub project activities in conformity with SEMF.

52 MONITORtNG INDICATORS

The monitoring indicators at this stage pertain to Impact Indicators to assess the degree of successand failure of the project in achieving its goals. These are general sub-project indicators, which maybe further detailed based on special areas of concern as highlighted by the Action Plans prepared forthe sub-project.

Monitoring Indicators & Responsible Agencies

Si. Environmental & Benchmark Indicators Output Indicators (During Impact Indicators (Post MonitoringNo. Social (Before Implementation) Implementation) Implementation) Agency'Parameters

1 Soil Erosion/Gully Area of waste lands Area of waste lands SPIG, WUA,Formation External

1 The PICU shall decide the appropriate Monitoring Agency based on the nature and scale of likely impacts from sub-project activitiesin each irrigation scheme.

Madhya Pradesh Water Sector Restructurlng Project 5-1

1L W SENT{F Tinafiapon

S. Environmental & Benchmark Indicators Output Indicators (During Impact Indicators (Post MonitoringNo. Parameters (Before Implementation) Implementation) Implementation) Agency'

Agency

Organic Matter Content / Organic Matter Content / SPIG, WUA,2 Soil Quality Nutrient Content / Pesticide Nutrient Content / Pesticide External

residue residue Agency

SPIG, WUA,3 Soil Moisture Moisture Content Moisture Content Extemal

Agency

Silt load in catchment runoff Silt load in construction Silt load in catchment runoff SPIG, WUA,4 Siltaton water runoff & reservoir water water External

Agency

Surface Water Hydrologic Parameters / Hydrologic Parameters SPIG, WUA,Quantity Irrigation system efficiency Irrigation system efficiency Agency

Agency

Salinity, Nutrient content, Salinity, Nutrient content, SPIG WUA,6 Surface Water Pesticide residue, Presence Pathogens in Labour camp Pesticide residue, Presence

Quality of Industrial Effluents, runoff of Industrial Effluents ExternalPathogens Pathogens Agency

GroundWaterSPIG, WUA,7 Ground Water Depth to Ground water Depth to Ground water External

AgencySalinity, Nutrient content, Salinity, Nutrient content, SPIG, WUA,

8 Ground Water Pesticide residue, Presence Pesticide residue, PresenceQuality of Industrial Effluents, of Industrial Effluents External

Pathogens Pathogens Agency

SPIG, WUA,9 Water logging Area under water logging Temporary water logging Area under water logging External

Agency

SPIG, WUA,10 Seepage /Leakage Measure of leakage water Measure of leakage water External

Agency

SPIG, WUA,11 Air Pollution Air pollution levels External

Agency

SPIG, WUA,12 Noise Pollution Noise levels External

Agency

Pressure on local fuel SPIG, WUA,13 Deforestation Forest cover area / density ressure Forest cover area / density Externalresources AecAgency

Quantity of weeds per unit Quantity of weeds per unit ExternAlarea of reservoir bed area of reservoir bed Agenal

Agency

Habitat area / habits of D Habitat area / habits of SPIG, WUA,15 Wild life cocre idieDisturbance to wild life cocre idieExtemalconcerned wildlife concerned wildlife AecAgency

Presure n aqaticSPIG, WUA,16 Aquatic life Health of aquatic creatures Pressure on aquatic Health of aquatic creatures External

resources AecAgency

17 Biodiversity Number of local flora & fauna Impact on flora & fauna at Number of local flora & fauna SPIG, WUA,species risk from external agencies species External


IL£9tL SEiTianftort

S. Environmental & Benchmark Indicators Output Indicators (During Impact Indicators (Post MonitoringNo. Parameters (Before Implementation) Implementation) Implementation) Agency

Agency

Quantit,v and nature of solid SPIG, WUA,18 Solid waste wastes ExternalAgency

Average Fertilizer usage per Average Fertilizer usage per Exten 'A19 Fertilizer use unit field area unit field areamaAgency

20 Pesticide use Average Pesticide usage by Average Pesticide usage by Externaltype per field unit area type per field unit area Agency

Number of people likely to be Socioeconomic status of SPIG, WUA,21 Displacement displaced & their Number of people displaced people after displacement NGO

socioeconomic status

Number of people likely to Number of people with lost Socioeconomic status of SPIG, WUA,22 Livelihood lose livelihood livelihood people after loss of livelihood NGO

Common Property Number of people likely to Number of people with lost Number of people with lost SPIG, WUA,23 lose access & resource onResources which rend e access to CPRs access & alternate resources NGOwhich dependent

Scheduled Caste / Number of likely Project Number of actual Project Socioeconomic status of SC / SPIG, WUA,24 Tribe Affected Persons & their Affected Persons ST PAPs after displacement NGO

socioeconomic status

25 Workload on Distribution of women's Distribution of women's natureSPIG, WUA,women nature of work in 24 hours. of work in 24 hours. NGO

Distribution of child's nature Distribution of child's nature of SPIG, WUA,26 Child Labour of work in 24 hours. work in 24 hours. NGO

27 Conflict Number of conflicts & issues Number of conflicts & issues WUA, NGO

28 Public Health Incidence & nature of water Incidence & nature of water Incidence & nature of water WUA, NGOrelated diseases related diseases related diseases

29 Cultural Properties Condition of structure & its Condition of structure & its Condition of structure & its WUA NGOsurroundings surroundings surroundings

30 Aesthetic / Cultural Number & nature of values at Number & nature of values WUA, NGO/ Religious Values risk infringed

The SEMF will also refer to the plans as listed in next chapter consisting of:

* Tribal Development Strategy and Action Plan

* Gender Action Strategy

* Resettlement Policy Framework (as required) and Action Plan

* Cultural Property Management Plan

Pest Management Plan

. Consultative Strategies (community sensitisation tools (PRA/PLA) and community based environmentalmeetings)

* Dam Safety Plan


6. TRIBAL DEVELOPMENT FRAMEWORK

681 PROCEDURE FOR PREPARING TRIBAL DEVELOPMENT PLAN

Involvement of Tnbal groups in problem identification and design of solutions has to be ensuredthrough the entire cycle of sub-project interventions. Table 6-1 presents the activities to beundertaken by the implementation agency to ensure inclusion of tribal issues in the main project.

Table 6-1: Activities and Indicators for inclusion of Tribal issues

Process & OutcomeSub project Procedures Co-ordinator Indicators (Monitoringstages Agency)

planning Identify location of state declared Tribal pockets and EE, WRD helped by List of tribal villages on sub-Po g villages with Tribal population above 25% through GIS Information Management project mapstage database cell (Tribal Expert)

Identification of Tribal community and other vulnerable EE, WRD with Gram List of all Tribal communitystakeholders at site Sabhas heads in the sub-project

(Tribal Expert)Sensitization and consultation through PRA and Focus EE, WRD helped by PR& No of discussions andgroup discussions with Tribal groups Media Experts, PICU WRD minutes of the meeting (Tribal

Expert)Identification of environmental and social issues of the EE, WRD helped by the Documentation of the issuestribals and possible impacts as a result of the project Environmental, Social & (Tribal Expert)

Tribal experts, WRDInclusion of issues and impacts identified in the EE, WRD helped by the Justifications for preparingprevious row into the SCl and SC2 screening Matrices Environmental, Social &Triball Development Planof the SEMF. Tribal experts, WRD (Tribal Expert)Joint walk through, Consultations and PRA techniques EE, WRD helped by the List of Spatial & Non spatialto establish existing concerns related to: Environmental, Social, issues* Land availability and Tenure Tribal experts, WRD & (Tribal Expert)Plannng and . Access to irrigation Gram Sabhas

Design Stage . Representation in WUA's* Existing Government schemes* Dependency on Minor Forest Produce (MFP) and

common property resourcesDiscussions on possible intervention measures, EE, WRD helped by the List of Safe guard measuresthrough the project their likely impacts and safeguard Environmental, Social & (Tribal Expert)measures (mitigation and monitoring) to be Tribal expertsincorporated into the project activities.* Loss of agricultural & homestead land* Loss of structure & immovable assets* Loss of livelihood* Loss of common property resources* Consultatons with tribal groups on the Draft Plan & EE, WRD helped by the List of safeguards measures

Tribal Development Plan Proposals for further Environmental, Social & into the Draft Plansuggestions Tribal experts

* Disbursement of Compensation and Assistance as per EE, WRD, Other line Measures undertaken as perthe Rehabilitation Plan/Framework agencies helped by the Checklist suggested in Tribal

Implementati * Preference for jobs in the project as per RP State / District Level Plan (Environmental, Social &on Stage Training on agriculture and allied activities as a part Committee & Tribal expert Tribal experts)of MPWSRP

* Take steps to ensure that child labour is not used inproject activities


- S!EMT(Finafodt

Process & OutcomeSub project Procedures Co-ordinator Indicators (Monitoringstages Agency)

Implementation of safeguards measures as per Tribal EE, WRD helped by the Measures undertaken as perDevelopment Plan proposals Environmental, Social & Checklist suggested in Tribal

Tribal experts Plan (Environmental, Social &Tribal experts)

Post Evaluation of the success of programs & safeguard EE, WRD helped by the (See Table 7 for ImpactImplementati measures undertaken Environmental, Social & Indicators)

on Stage Tribal expertsFollow up activities based on lessons learnt EE, WRD, Other line List of modified Programs

agencies helped by the implemented (Tribal Expert)Environmental, Social &Tribal experts

The following Table 6-2 lists the Impact Indicators to be monitored throughout the sub-project cycle tomonitor and evaluate the impacts of the project.

Table 6-2: Impact Indicators for evaluationItems Impact Indicators Frequency Agency

Economic * Income: Project related & Independent means but * Planning Stage IndependentConditions assisted by the project * Post Implementation agency/Internal

* Housing: Changes in quality over a period of time Stage monitoring by SPIG &* Food Security appraisal by PICU* Changes in occupation* Skill portfolio* Migration profile

Social Representation in Community based institutions: * Planning Stage IndependentConditions * Indicators of participation * Post Implementation agency/Internal

* Empowerment Stage monitoring by SPIG &* School enrolment appraisal by PICU* Health and morbidity* Household infrastructure: electricity, potable water,

living space, etc.

6.2 DISPLACEMENT OF TRIBALS

Given below are some key aspects to be considered for tribal groups affected by displacement. Inorder to address key issues identified pertaining to compensation to the project affected person orgroup belonging to a tribal community, their socio-economic characteristics, details of type of landand ownership, dependence of tribal population in such land, their tenure rights and access tovarious categories of land needs to be addressed. The following are key aspects to be addressedduring the finalization of entitlement framework:

* Land has to be looked upon not only as source of livelihood but also as inevitable nexus for tribal identity.

* Special prerogative and rights of tribal communities associated with territories inhabited by them has to beconsidered.

* Recording of community rights on land has to be ensured.

* Failure of record of rights over land under cultivation or any other usage has to be eradicated.


1 I S!EMEF 0finaf(pon

Faulty recording of chief or Pradhan as owner of land when he only manages community land has to bereplaced by community ownership.

* Recording of actual usage of land has to be ensured.

The mitigation measures suggested for the various impacts identified accruing to the project are inaccordance to the various constitutional and legal provisions. These should have to be dulyincorporated in preparation of entitlement framework for the project-affected persons (PAP) fromtribal communities. The following section gives the options for entitlement framework for tribalpopulation.

* Compensation for Loss of Land

* Compensation for Loss of structures and assets

* Compensation for Loss of Livelihood

* Compensation for Loss of common property resources

* Compensation for Loss of Grazing/camping/passage/minor forest produce

* Compensation for Clearance of Encroachers / Squatters

At the project planning stage, approval of selected projects, assessment of land requirement,ascertaining land ownership, identification of affected population, tenurial rights, etc. should beundertaken and approved by the Gram Panchayat. This should be compulsory for the final selectionof projects and prior to preparation of the DPR. Suitable administrative framework consistent withtraditional practices to safeguard traditions and customs of tribal communities to protect the tenurialrights and access to the MFP should also be complied with. This shall be as per the conferring rightsof the MFP on Panchayats or Gram Sabhas considered under PESA. Grievance redress shall be inconformity to that proposed in the Resettlement Plan.

6.3 INSTITUTIONAL ARRANGEMENTS

Institutional arrangements to ensure involvement of tribal groups in project planning and accruing ofbenefits from the projects to them have been presented in the following Table 6-3.

Table 6-3: Institutional Arrangements for Tribal group involvement

Institutions ResponsibilitiesPICU * Identification of sub-project activities to address tribal issues

* Advise SPIG & WUAs in the process of impact identification and devising safeguardmeasures

* Coordinating implementation of safeguard measuresSPIG * Identification of tribal pockets within the project

* Identification of sub-project activity impacts and mitigation measures* Assessment of impacts on tribal groups* Identification of safeguard measures to address adverse impacts on tribal communities* Grievance redress of tribal communities* Coordinating implementation of safeguard measures

NGOs * Regular Consuitations with the tribal population to help highlight relevant issues &grievances

* Help in formulating & implementation of safeguard measuresWUAs * Identification of tribal pockets within the project

* Help in formulating safeguard measures* Implementation of safeguard measures

Panchayat * Identification of tribal pockets within the project and highlight relevant issues


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Help in formulating safeguard measures

6.4 IMPLEMENTATION STRATEGY

The main guiding principle of the IPDP should be finalized to provide compensation mechanismsand measures required for the project. The Social Cell of the PICU, WRD will appraise the plan andensure proper implementation including grievance redressal. The MoU among all stakeholdersbefore implementation shall ensure that interests of the tribal population within the sub-project regionare duly addressed.

Information pertaining to the schedule of the IPDP activities shall be provided to the community inadvance following Land Acquisition Act adopted by the State by the WRD. The rehabilitationmeasures shall continue during the construction stage. Some of the key aspects to be incorporatedwithin the sub-project activities include:* Building a Knowledge Base within the WRD to effectively plan for Tribal development for each scheme

(including population, a socio-economic and occupation profile/conditions and local history, localinstitutions, decision-making processes, access to public facilities and services, likely project impacts andopportunities for tribals and other vulnerable groups),

* Preparing a sound Monitoring and Evaluation Framework to assess the project impacts,

* Training Programs for Tribals towards capacity enhancement and awareness building, and

* Effective implementation of the identified safeguard measures.


7. GENDER ACTION FRAMEWORK

?.1 PROCEDURE FOR PREPARATION OF GENDER ACTION PLAN

The types of interventions relating to a Gender Action Plan in the project could include:

* Focus group discussions with women

* Training on gender issues for men and women

* NGO facilitation of women's participation in WUAs and SHGs

* Linkage with other programs for women and with existing women self-help groups

* Encouraging participation in project activities (e.g. vermicomposting, small-scale agro-processing industry,livestock/fisheries management, packaging, rehabilitation/modernization activities, etc.)

* Targeted training for women in project area

Involvement of women groups in identification of impacts and opportunities through sub-projectactivities shall from the basis for preparation gender sensitive sub-project activities. The procedure tobe followed and Process and Outcome Indicators for constant monitoring are presented in Table 7-1.Impact Indicators are presented in Table 7-2.

Table 7-1: Activities & Indicators for inclusion of Gender Issues

Sub-Project Procedure Process & Outcome IndicatorsStages

Pre-Planning Identify Gender likely Issues of the project region through GIS List of issues (Gender Expert, PICU)Stage database

Organize a women stakeholders meeting to sensitise and discuss Number of consultations (Gender Expert,the preliminary findings SPIG)Identify key areas of constraints that may be improved through Number of consusitations & signed minutesthe project such as access to Food, Water, Fuel wood, Fodder, (Gender Expert, SPIG)Physical & Social Infrastructure, Decision Making Bodies, etc.Incorporate and highlight the issues in the Screening Formats List of issues mentioned (Gender Expert,SCI & SC2 SPIG)

Planning Stage Joint Walkthrough (if possible), Consultations and PRA exercises List of issues identified on sub-project mapwith women groups to identify possible impacts and opportunities and their inclusion in Sub-Project Genderfor preparation of Sub-Project Gender Action Plan Action Plan (Gender Expert, SPIG)Consultations for fine tuning the proposals of Sub-Project Gender Number of meetings & signed minutesAction Plan (Gender Expert, SPIG)

Implementation Implementation of safeguard measures and grievance redress Measures undertaken as per Checklist toStage mechanism on compensation, assistance and training, etc. of be prepared under in the Sub-Project

Project Affected Women Headed Households Gender Action Plan. (Gender Expert, SPIG)Post Implementation of Awareness Building, Training, Assistance in See Table 7.3 for Impact IndicatorsImplementation availing Credit facilities, etc. to create an enabling environment ofStage equal opportunities to women


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Table 7-2: Impact Indicators of Post Implementation Stage

Items Impact Indicators Frequency AgencyEconomic Income: Project related & Independent means but Planning Stage IndependentConditions assisted by the project Post Implementation Stage agency/Internal

Housing: Changes in quality over a period of timeFood Security monitoring by SPIG &Changes in occupation PICUSkill portfolioMigration profileWages obtained

Social Representation in Community based institutions Planning Stage IndependentConditions Indicators of participation Post Implementation Stage agency/Internal

Empowerment monitoring by SPIG &School enrolmentHealth and morbidity PICUHousehold infrastructure: electricity, potable water, livingspace, etc.

72 INSTRUTIONAL ARPANGEMENTS

Institutional arrangements to ensure involvement of women groups in project planning and accruing ofbenefits from the projects to them have been presented in the following Table 7-3.

Table 7-3: Institutional arrangements for women's' involvement

Institutions ResponsibilitiesPICU . Identification of sub-project activities to address gender issues

* Advise SPIG & WUAs in the process of impact identification and devising safeguardmeasures

* Coordinating implementation of safeguard measuresSPIG * Identification of gender issues & women headed households within the project

* Identification of sub-project activity impacts and mitigation measures* Assessment of impacts on vulnerable women* Identification of safeguard measures to address adverse impacts on vulnerable women

Grievance redress of vulnerable women* Coordinating implementation of safeguard measures

NGOs . Regular Consultatons with the womens' groups to help highlight relevant issues &grievances

* Help in formulating and implementation of safeguard measuresWUAs * Identification of gender issues & women headed households within the project

* Help in formulating safeguard measures* Implementation of safeguard measures

Panchayat * Identification of gender issues & women headed households within the project andhighlight relevant issues

* Help in formulating safeguard measures

7.3 IMPLEMENTATION STRATEGY

The implementation and monitoring mechanism should be designed to look into the benefit of womenstakeholders through the following measures:

* Stakeholders' consultation process has to be opted for all the stages of planning and implementation of theprojects under consideration where women as a important stakeholder group should be consulted forfinalizing strategies for their welfare.

* All the strategies related to gender development should be planned taking into consideration the feasibility ofcarrying out such actions related to water sector restructuring, achievability, specificity of actions andresponsibility of prospective actors towards achieving targets.


1! 3D S!FS fFinaf Wpon

* Basic responsibility of gender development actions for these water resources projects is vested with the SPIG

& PICU (WRD). This should be carried out in consultation and support from the concerned line Departments.

The project authorities should constitute Social Cells with gender experts within the Department for timely

preparation and effective implementation of the gender action programmes.

* Activities under gender action programme should necessarily have effective participation, cooperation and

involvement of most of the basin level and project level officials to prepare and execute suitable action plans.

In case of any grievances regarding the gender action plan the project-affected women may approach the

Social Cell that will be established at the basin and head office levels of the WRD.

* It is proposed that Gender Experts be nominated at the level of CE in all the 5 project basins.


8. RESETTLEMENT FRAMEWORK

8.1 INTRODUCTiON

The Government of Madhya Pradesh (GoMP) through the Water Resource Department has initiatedthe Madhya Pradesh Water Sector Restructuring Project (MPWSRP) with an aim to pilot reformsoptions for enhancing the productivity of water, increasing crop production and over all well being ofthe people. The project would seek to restructure the Water Sector to significantly improveperformance in water resources planning, allocation and management for sustained multi-sectoral use,by adopting a river basin approach.

Sub-Project interventions proposed under MPWSRP are limited to rehabilitation and modernization ofexisting structures and introduction of other software measures like extension works related toagriculture, fisheries, livestock development, etc. No new schemes are being proposed in this project.Thus resettlement is unlikely under this project. However, as a safeguard measure, a ResettlementFramework has been prepared to address any displacement as a result of any sub-project activity.The Madhya Pradesh State Policy on Rehabilitation (SPOR) 2002 (notified by Government of MadhyaPradesh Rehabilitation department vide G.O. no. F 22-2-96-28 dated September 3, 2002) recognizesthe need for a special focus on the resettlement and rehabilitation of affected people in the watersector.

82 POTENTlAL IMPACTS OF SUB-PROJECTS

Large-scale involuntary resettlement is unlikely as MPWSRP proposes to upgrade/modernize existingschemes mainly through rehabilitation of existing structures and in addition, introduction of othersoftware measures like extension works related to agriculture, fisheries, livestock development, etc.But, in the process of rehabilitation the possibility of small-scale involuntary resettlement cannot beruled out completely, especially in the cases where private properties (land/structures) exist inproximity to the existing systems or there are encroachments. Based on the survey of 20 selectedsample sub-projects, it is concluded that activities that may result in involuntary resettlement are:

Relocation of structures,Upgradation / Additional physical works for improving and expanding the water storage or supplycoverage,

> New physical works (if found necessary).

The interventions may require displacement of persons depending on the scale of the work and level ofencroachments. The probable impacts include:> Loss of land and other immovable assets> Loss of livelihood systems/income opportunity (due to loss of productive land; due to impact to structure

where livelihood activity is being carried out; etc.)> Loss of Community Property Resources (religious structures, grazing land, etc.)> Loss of access (between settlements, to agriculture lands, to markets, etc.)


ILiD" S!EEW' Tina(WSport

8.3 RATIONALE FOR RESETLEMENT FRAMEWORK

The ESA study looks into the likely resettlement impacts due to the MPWSRP that follows aProgrammatic approach wherein various sub projects shall be identified and taken up for improvementin different years using clearly defined criteria. Though no new schemes are being proposed in thisproject and thereby no resettlement is anticipated at this stage, involuntary resettlement may benecessary on a minor scale during planning of rehabilitation and modernization schemes at sub-projectlevel. While the State Policy on Rehabilitation provides the overall enabling environment,implementation of this policy for a project such as MPWSRP requires specificity as can be provided ina project -specific Resettlement Policy framework. This is why a resettlement policy framework isproposed to be adopted for such sub-projects where involuntary resettlement, even on a minor scale,would be inevitable. As per the Screening Exercise, sub projects requiring involuntary resettlementshall be identified and Resettlement / Abbreviated Resettlement Action Plans shall be prepared inconformity with the Resettlement Framework for the present study. The Resettlement Framework isbased on the essential principles of the SPOR and World Bank Policy on Involuntary Resettlement(OP/BP).

8.4 DEFINITIONS USED IN THE MPWSRP R&R POUCY FRAMEWORKThe following definitions enable the implementing authorities to translate the Policy objectives to assistthose suffering losses on account of any physical/civil works:

" Project Affected Person" (PAP) means a person who is affected on account of the land acquisition orappropriation of land, homestead land and structures thereon and loss of trade and occupation and livelihooddue to construction of the project.

"Project Displaced Persons" (PDP) are the persons who have lost land and structures thereon for the Projectwith or without displacement

"Project Affected Family" (PAF) means;

i. Affected person and his/her spouse and minor children;

ii. Every son of an affected person irrespective of his marital status above the age of 18 years;

iii. Every unmarried daughter of an affected person above the age of 18 years;

iv. Divorced, widowed, abandoned or separated woman or single unwed mother living separately;

v. Disabled and orphans.

"Entitled Person" (EP) includes all PAPs who qualify for, or are entitled to, compensation / assistance sincebeing impacted by the project. The basis for identification of entitled persons in the project will be the cut-offdate."Private Property Owners" are persons who have legal title to structures, land or other assets. Theseproperty owners are entitled to compensation under the Land Acquisition Act 1894.

" Encroacher" means, a person who has trespassed Government! private/ community land to which he/ sheis not entitled to. In MPWSRP the encroachers are those who have land/assets adjacent to Government landvested with WRD and extended their operational holdings within WRD land, mainly for agricultural purposes.


1 L S£EWFt Iina(Tsport

* "Land less/ agriculture labor" is a person who does not hold any agricultural land and has been deriving hismain income by working on the land of others on wage labor.

* Squatter is a person who has unauthorised settled on the land or building for shelter or livelihood

* "Persons Losing their Livelihood" are individual members of the PAF, who are at least 18 years of age andare impacted by loss of primary occupation or source of income.

* "Below Poverty Line" is a sum fixed by the Planning Commission, Government of India. It is different for ruraland urban contexts, varies from State to State and changes from year to year. For MPWSRP the relevantsum will be considered.

* "Vulnerable Person" may include, but not limited to the following:

i. Those people living Below Poverty Line and or are earning 25% above the poverty line;

ii. Members of the Schedule Caste/ Tribe community/ Other Backward Caste;

iii. Women headed households;

iv. Orphans and destitute;

v. Disabled and aged (over 60 years of age);

vi. Landless persons.

* "Compensation" refers to restitution made to property under the Land Acquisition Act, 1894. In this context itrefers to payment made by the Government exercising 'Eminent Domain'.

"Assistance" includes all support mechanisms such as monetary help, services or assets given to PAPs.

"Replacement Cost" is the amount required for an affected person to replace the lost asset through purchasein the open market.

"Minimum Economic Wage" (MEW) is the wage of a person for his/her services/labour to be paid per day asrecommended by the Ministry of Labour, Government of India (Year 2000).

A "Tree or a Perennial Crop" is any plant species that lives for years and yields its products, fruits or timber,after a certain age of maturity.

A "Non-perennial Crop" is any plant species, either grown naturally or through cultivation that lives for aseason and perishes with harvesting of its yields.

"Cut -Off Date," means the date of issuing notice under section 4(1) of the Land Acquisition Act (Amended) of1984 for titleholders; Non-title holders should be living in the area for at least two years prior to projectnotification.

8.5 BROAD PRINCIPLES & OBIJECTIVES OF R&R FRAMEWORKBoth the MP State Policy on Rehabilitation 2002 and the OP/BP 4.12 in combination shall form thebasis for guidelines for the Resettlement & Rehabilitation Framework for this project. ResettlementAction Plans shall be prepared in accordance with this R&R Framework to ensure fair and speedyresolution of R&R issues. These guidelines detail out the assistance and support in re-establishing thehomes and livelihoods of the Project Affected People(PAP) to help them regain the previous livingstandards or leave them " better-off'. The broad principles for planning and implementing theResettlement and Rehabilitation programs are given below.


Given below are the major Principles for Rehabilitation that would guide the Resettlement framework:The main objective would be to improve or at least regain the standard of living the affected familieshad been enjoying prior to the project.

Principles

To achieve the above stated objectives, the following principles would be applied:

(a) Acquisition of land and other assets, and resettlement of people will be minimized as much aspossible.

(b) Lack of legal title to affected assets will not bar the PAP from entitlement to such compensation forhis/her lost assets (structures, houses, crops, trees, etc.), businesses and incomes, and torehabilitation measures. Particular attention will be paid to the needs of the vulnerable groups includingthe poorest affected persons, female-headed households, and indigenous peoples, and appropriateassistance provided to help them improve their status.

(c) PAPs losing all of their assets (farmland, house or business), or in case of partial loss when theremaining assets are not viable for continued use, will be entitled for compensation for the entire assetsat replacement cost'. In the case of partial impact on the assets i.e. partial loss of land or structures andthe remaining assets remain viable for continued use, the compensation for the affected assets would bepaid in cash. The sub-project proponent will assume ownership of the said affected assets uponpayment of full compensation to the PAPs.

(d) All replacement land will be provided with secured tenure status and without any additional cost,taxes, and surcharge to the PAPs at the time of transfer.

(e) In the case of loss of productive assets, incomes, jobs and employment, PAPs would be entitled toadditional economic rehabilitation assistance2 that allows them to enhance or at least restore their

' Where significantly large or entire land holding is affected by the project or in case where only partial land is affectedbut the remaining land becomes economically unviable, the general mechanism for compensation of lost agriculturalland will be through provision of "land for land" arrangements of equivalent productivity and at location acceptable to thePAP. Where the PAPs losing residential land with structures exist in a closely located group exceeding 20 households,the project authorities, in consultation with affected households, may offer relocation option to fully developedresettlement sites, or alternative facilities to housing projects. The replacement residential land for resettlement will beprovided in fixed plot sizes according to the prevailing zoning laws and planning practices. In case suitable residential /agricultural replacement land is not available and at the informed request of the PAPs, cash compensation atreplacement cost will be provided.

2 Where the people are severely affected by the loss of productive assets, incomes and employment, compensation forlost assets may not be adequate. Severely affected people will be entitled to rehabilitation assistance measures forrestoration of incomes and livelihood. The rehabilitation measures may include income restoration programs, training innew skills, credit assistance in starting new businesses, employment in the project and job opportunities for self-employment, agricultural extension services, farm inputs, restoration of access to public facilities and services, farmland,forest and water resources to relocating project affected persons in the new environment or any other appropriateassistance measures depending upon the social and economic background of PAPs and their needs and preferences.Madhya Pradesh Water Sector Restructuring Project 8-4

IL.S 5£dXF Finalftpon

standard of living to pre-project levels. Those displaced by the project will be provided additionalrelocation assistance and offered support during the transition period.

(f) Where cultural minorities, indigenous peoples, and pastoralists, who may have usufruct orcustomary rights to the land or other resources taken for the project, are affected, the social andeconomic benefits they receive would be in harmony with their cultural preferences and would bedecided in consultation with affected communities.(g) Any acquisition of, or restriction on access to resources owned or managed by PAPs as a commonproperty will be mitigated by arrangements ensuring access of those PAPs to equivalent resources on acontinuing basis.

(h) Tenants and lessees affected due to the project in terms of loss of place of work, residence, orincomes, will be provided with compensation for their lost fixed assets, if any, and with appropriate rentallowance and assistance in shifting to new location. The type and level of assistance may varydepending upon the type of impact and tenure status of PAPs.

(i) PAPs whose land or assets are temporarily taken by the works under the project will be fullycompensated for their net loss of income and damaged assets, the latter at replacement cost. In case theassets are required by the project for periods longer than six months, the amount of compensation shouldbe negotiated with the owner of said property.

() In situations where uncertainty of resettlement sites exist consultation, counselling regardingresettlement alternatives, and assistance in identifying new sites and opportunities and option ofhousing in resettlement sites in cases of cluster relocation shall be extended to all PAPs.

8.6 ENTffLEMENT FRAMEWORK:

8.6.1 Eligibility Criteria

Involuntary Resettlement is remote in MPWSRP, given nature of project interventions that pertain tomere up gradation and modernization of existing irrigation schemes and other small physical works likeimprovement of ponds for fisheries development, canal and dam hydro etc. Additional submergence inreservoirs shall only be restricted to projects where possibilities of creating additional storage exist.Thus estimated population displacement shall be limited in the present project. The entitlementframework has been decided, as part of the mitigation measures to compensate the losses to thePAPs. The definitions regarding entitlements and the eligibility criteria are presented hereunder. InMPWSRP, following the State Policy on Rehabilitation 2002 and the World Bank OP 4.12 oninvoluntary resettlement, the criteria for eligibility for compensation in case of project-affected peoplehave been described as follows:

* Those who have formal legal rights to land or other assets (including customary and traditional rightsrecognized under the laws of the country), and

Such measures would specifically focus severely affected (displaced) PAPs, vulnerable groups, itinerant workers, smallbusinesses and those either below the poverty line or those severely affected by the project and are likely to fall belowthe poverty line. Detailed baseline survey and socio-economic data will identify such vulnerable groups and the scopeand need for specific rehabilitation measure will be assessed during the project implementation stage in consultationwith the PAPs. At least 30% of such rehabilitation assistance measures will be reserved for women.Madhya Pradesh Water Sector Restructuring Project 8-5

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* Those who do not have formal legal rights to land or other assets but have a claim to such legal rightsprovided that such claims are recognized under the laws of the country or become recognized through aprocess identified in the resettlement policy framework. Such rights could be derived from, from continuedpossession of public lands without Government action for eviction (i.e., with the implicit leave of theGovernment) or from customary and traditional law and usage etc.

* The absence of legal title to land of other assets is not, in itself, a bar to compensation for lost assets or otherresettlement assistance.

* Displaced persons irrespective of legal title holding are also entitled to compensation for loss of assets suchas structures and crops and are eligible for receiving other resettlement assistances.

The likely categories of displaced persons based on eligibility for entitlements as per the framework aregiven in Error! Reference source not found..

Table 8-1: Eligibility Criteria

SI. Affected Population DefinitionsNo. Categories

SPOR Definitions1 (a) Project Affected "Proiect Affected Person" means a person who is affected on account of the land acquisition or

Person (PAP) / Project appropriation of land home stead land and structures thereon and loss of trade and occupationDisplaced Person and livelihood due to construction of the project.(PDP) "Proiect DisDlaced Persons" are the persons who have lost land and structures thereon for the

Project and have become homeless(b) Project Displaced 1. A family comprising displaced persons as defined above includes the husband, wife andFamily (PDF) minor children and others such as window mother, widow sister, unmarried sister,

unmarried daughter or aged father, depending on the head of family.2. Every major son/ daughter of a displaced family (who has become major on the date of

notification Under Section 4 of the Land Acquisition Act, will be considered a separatefamily)

2 (a) Landless person / A person who holds no agricultural land himself or a joint land with his family member or whoAgricultural laborers has no other land for agriculture. Persons who work, as agricultural labourers will also be

placed under this category.(b) A small farmer A person who owns 2 hectares unirrigated or 1 hectare or less irrigated land.(c) A marginal farmer A farmer who owns 1 hectare unirrigated or 0.5 hectare or less irrigated land.

Additional Definitions3 Urban Displaced Displaced families in urban areas (Areas identified as Urban by the Census of India 2000).

families4 Rural Displaced Displaced families in rural areas (Areas identified as Rural by the Census of India 2000).

families5 Encroacher A person who has trespassed into Government! private/ community land to which he/ she is not

entitled to6 Squatters Person who has unauthorized settled on the land or building for shelter or livelihood7 Below Poverty Line The subsistence level of income is called the Poverty line. BPL is a sum fixed by the Planning

Commission, Government of India and families that have an income below this sum fall withinthe vulnerable or poor or disadvantaged class. For the year 2004 ((These BPL figures arebased on 2004 Planning Commission data and should be calculated as per BPL figuresprevailing in the year of implementation), the BPL level for rural areas in MP is Rs.22, 680/- per(5-member (as defined by Census of India)) family per annum while that for urban areas isRs.35, 130/- per (5-member (as defined by Census of India)) family per annum. Thecorresponding national figures are Rs.23889 per family per annum for rural areas andRs.33120/- per family per annum for urban areas.

8 Vulnerable Persons / All category of people who are socially distressed or economically backward fall under this


SMSEWT 2Fina(wfpofl

SI. Affected Population DefinitionsNo. Categories

Groups group. They may include, but not limited to the following:1. People living Below Poverty Line and or are earning 25% above the poverty line;2. Members of the Schedule Caste/ Tribe community/ Other Backward Caste;3. Women headed households;4. Orphans and destitute;5. Disabled and aged;6. Land less person.

9 Titleholder This includes the persons who can establish their usufruct rights of the property they claim tobe their own. Cut off for titleholder is the date of issuing notice under section 4(1) of the LandAcquisition Act (Amended) of 1984.

10 Non-titleholder Any person unable to establish his/her right to the property he/she is occupying without alegitimate evidence for being the owner is called a non-titleholder. Cut off Date for Nontitleholder refers to the date of Census Survey which should be completed 2 years prior to thesection 4(1) notice under the L A Act.

8.6.2 Summary Entitlement matrix

The Entitlement matrix adopted for the MPWSRP is given in the following Table 8-2. Any otherunforeseen impacts shall be documented and mitigated based on the principles agreed upon in thismatrix.


- . - SSE9MF T'inalgZpor

Table 8-2: Summary Entitlement Matrix

Category of Impacts Impacts and assistance criteria EntitlementsPrivate Property Owners Encroachers/Squatters

V* NV** V NVLANDLoss of Agricultural Land Compensation for land at full replacement cost, free of fees Yes Yes Yes No

or other charges equivalent to 30% of the replacement cost. (If revenue or forest landoccupied for min. 3years from date ofproject sanction)

Land based resettlement options (if > 25% and subject to Yes Yes No Noavailability)

Loss of Residential Land (Rural Compensation at full replacement cost or allotment of Yes Yes Yes No/ Urban) alternative Residential Plot subject to availabilityLoss of Urban Land (other than Compensation for land at full replacement cost, free of fees Yes Yes No Noresidential - commercial, or other chargesvacant, developable lands, etc.)OTHER IMMOVABLE ASSETSLoss of Structures Replacement or compensation for structures and other non- Yes Yes Yes Yes to squatters

land assets at full replacement cost. No to encroachers

Loss of trees Compensation for perennial crops and trees, calculating as Yes Yes No Noannual net product value multiplied by number of yearsrequired for new crop to start producing

Loss of crops Advance notice to harvest non-perennial crops, or Yes Yes Yes Yescompensation for lost standing crop

Loss of reusable assets Rights to salvage materials from existing structures, trees, Yes Yes Yes Yesand other assets

PHYSICAL RELOCATION

Hardships in immediate Grant for accessing housing schemes, or other support to Yes Yes Yes Noreestablishment assist poor, landless, lessee and vulnerable tenants in

reestablishing their homes @ MEW (Rs.50.50/ day for 3months = Rs.22,725/-)

Shifting hardships Shifting (transportation) assistance Yes Yes Yes Yes to squattersNo to encroachers

Madhya Prodesh Water Sector Restructuring Project 8-8

- " S!E9dWT' tFpin q or

Category of Impacts Impacts and assistance criteria EntitlementsPrivate Property Owners Encroachers/Squatters

V* NV" V NVLIVELIHOODHardships during Transition Transition Assistance - agricultural extension services, Yes Yes Yes Yesperiod cooperatives, Employment Assurance Scheme, Insurance

Scheme, etc. (@ Minimum Economic Wages (MEW) as perMinistry of Labour Govt. of India (2000) (Rs.50.50/ day for 3months = Rs.22,725/-)

Lack of financial support during Rehabilitation Grant in aid for 1 year @ BPL amount plus Yes Yes Yes Yestransition 25% = Rs.28,350/- for rural and Rs.43912.50 for urban

areas. (These BPL figures are based on 2004 PlanningCommission data and should be calculated as per BPLfigures prevailing in the year of implementation)

Loss or diminished livelihood Special support (financial) for additional 3 years @ BPL Yes (only for No Yes Noamount plus 25% = Rs.85,050/- for rural areas and landless)Rs.1,31,737/- for urban areas. (These BPL figures arebased on 2004 Planning Commission data and should becalculated as per BPL figures prevailing in the year ofimplementation)Additional support mechanisms for vulnerable groups in Yes No Yes Noreestablishing livelihood consisting of distribution of 'patta'commercial plots from available government land (if any) toassist poor, landless, lessee and vulnerable tenants inreestablishing their livelihoodsEmployment opportunities in connection with project Yes (only No Yes No

landless)COMMUNITY RESOURCESLoss of Community Resources Re-establishment or development of Community Resources Yes Yes Yes Yes

like grazing lands, religious structures, etc.ACCESSLoss of access to Facilities Creation of new Civic Facilities and Transportation routes Yes Yes Yes Yes

V* - VulnerableNV**- Non Vulnerable


&S'E T fina(Wsport

817 PROCEDURE FOR PREPARING RESETTLEMENT ACTION PLAN

8.7.1 Resettlement Action Plan Process

The main objective of resettlement and rehabilitation is to enable the displaced or affected people toshare the development benefits and that; they are re-established in a manner that their previousstandard of living is restored. For proper rehabilitation of the project affected and displaced persons,social impact assessment shall be undertaken. This will help in assessing the magnitude ofdisplacement, losses to be sustained by PDPs and PAPs, better targeting of vulnerable groups,ascertaining the cost of R&R, drawing out the rehabilitation package and administering the same. Inorder to achieve this the following steps will have to be taken up in a systematic manner. Procedure &Indicators for Resettlement are presented in Table 8-3.

Socio-Economic Impact Assessment Survey:

The socio-economic base line survey should be conducted within two years of the publication of thesection 4(1) notification of LA Act.

Identify the affected area through maps and consultations with the local communities. This will form the basisfor issuing of identity cards to the eligible families.Baseline survey - census verification of 100% of the affected population and the loss of propertiesA detailed sample socio-economic survey including consultation, focus group discussions, etc.A survey among the host community to identify issues relating to the relocation of displaced populationIdentify and analyze social structures, norms, customs, cultural centers, traditional rights including thoserelated to common properties and practices, leadership pattern, social networking

Planning for Project Affected Persons shall be initiated in the Pre-Planning stage through regularconsultations with the affected persons. Voluntary relocation shall be encouraged to the extentpossible, as most of the relocation shall pertain to squatters and encroachers. Based on informationfrom the socio-economic survey, a Resettlement Action Plan shall be prepared for the project. Theactivities that will guide the preparation of such a Resettlement Action Plan are outlined below:

Preparation of Resettlement Action Plan:* A comprehensive plan for resettlement will be drawn up in advance by the project authorities based on the

census and socio-economic surveys. The entire plan for resettlement should be prepared by the projectauthorities in consultation with all stakeholders including local representatives, NGOs/CBOs and PAPs.

* The RAP will include census of affected people, their losses and specific entitlements and assistance,alternatives for economic rehabilitation, participatory framework, mechanism for implementation, monitoringmechanism, schedule of tasks and budget.

* Where there are tribal groups affected by the project, an IPDP needs to be prepared to address specificissues not covered in RAP.

Planning for relocation:

The RAP will include the following to plan for the relocation process:


* Identification of New Resettlement sites, where necessary, in consultation with the displaced and hostpopulation

* Identify the necessary infrastructure and common properties to be developed at the new sites

* Arrangements during shifting and transition period

* Address specific issues related to women, tribals and other vulnerable groups

Planning for economic rehabilitation:

The RAP will include the following to plan for economic rehabilitation:

* Identify livelihood alternative feasible in the area in consultation with the affected community with emphasison the needs of the vulnerable groups particularly women, tribals and others

* Focus should be on land based activities and where such possibilities are not feasible, identify alternateopportunities and provide both backward and forward linkages for the success of restoration of livelihood.

Table 8-3: Procedure & Indicators for Resettlement

Process & Outcomestages Procedure Co-ordinator Indicators (Monitoring

Agency)Identify locations in the sub-project that might PICU helped by Resettlement Expert. List of issues that trigger

Pre-Planning lead to displacement of people affecting Implementation responsibility of Executive Resettlement Action PlanStage private lands, encroached government lands, Engineer SPIG through NGO- SD (Resettlement Expert)

structures or assets linked to livelihood. specialist..Stretches where land acquisition is likely to PICU helped by ReseUtlement Expert Maps showing landbe transferred on to the land revenue maps Implementation responsibility of Executive acquisition locationsand alternatives sought from PAPs to Engineer SPIG through NGO- SD (PICU)minimize acquisition. specialist..Consultations with the PAPs to arrive at PICU helped by Resettlement Expert Video records,agreeable solutions and decision by PICU Implementation responsibility of Executive Photographs, SignedR&R expert on whether voluntary relocation Engineer SPIG through NGO- SD minutes of meetingfrom encroached areas is a possibility. specialist.. (PICU, Resettlement

Expert)Revision of sub-project intervention activities PICU helped by Resettlement Expert List of modified sub-incorporating the outcomes of PAP Implementation responsibility of Executive project activities (PICU,consultations Engineer SPIG through NGO- SD Resettlement Expert)

specialist..Inclusion by PICU R&R expert of issues and PICU helped by Resettlement Expert Requirement ofunavoidable impacts identified into the SC1 Implementation responsibility of Executive Resettlement Action Planand SC2 screening Matrices of the SEMF. Engineer SPIG through NGO- SD PICU, Resettlement

specialist... Expert)Superimposition of Total Station Drawings of PICU helped by Resettlement Expert List of villages on sub-

Planning stage Irrigation Schemes on Revenue Maps. Implementation responsibility of Executive project mapEngineer SPIG through NGO- SD PICU, Resettlementspecialist... Expert)

Identification / location of interventions on PICU helped by Resettlement Expert Demarcated Areathe sub-project drawings and demarcating Implementation responsibility of Executive needed for acquisition onthe area that would be required for Engineer SPIG through NGO- SD sub-project mapimplementing the interventions. specialist... (PICU, Resettlement

Expert)


Process & Outcomestages Procedure Co-ordinator Indicators (Monitoring

Agency)

PICU helped by Resettlement Expert Maps showing landIdentification of the plots to enlist the project- Implementation responsibility of Executive acquisition locationsaffected families & PAPs. Engineer SPIG through NGO- SD (PICU, Resettlement

specialist... Expert)

Baseline survey that consists of 100% PICU helped by Resettlement Expert.census survey of the PAPs and the types of Implementation responsibility of Executive Final List of PAPs (PICU,loss shall be undertaken. The day of such Engineer SPIG through NGO- SD Resettlement Expert)survey shall be treated as the 'cut off' date. specialistSocio economic survey of PAPs consisting of PICU helped by Resettlement Expert.20% sample of total affected families to Implementation responsibility of Executive LIsto keysesestablish the socio-economic status of the Engineer SPIG through NGO- SD (PICU, Resettlementfamilies affected. specialist... Expert)Formulating compensation and assistances PICU helped by Resettlement Expert. Budget for compensationthat need to be provided to compensate the Implementation responsibility of Executive & assistance by type andloss of PAPs through consultations. Engineer SPIG through NGO- SD numbers

specialist. (PICU, ResettlementExpert)

Preparation of the Land Acquisition Plan and PICU helped by Resettlement Expert. Number of householdsSchedule required as per the Land Implementation responsibility of Executive notifiedAcquisition Act. Engineer SPIG through NGO- SD (PICU, Resettlement

specialist. Expert)Disbursement of Compensation and PICU helped by Resettlement Expert. Number of households

Implementati Assistance to PAPs as per the Rehabilitation Implementation responsibility of Executive compensated & assistedon Stage Plan/Framework Engineer SPIG through NGO- SD (PICU, Resettlement

specialist. Expert)Preference given to PAPs for jobs in the PICU helped by Resettlement Expert. Number of personsproject as per Resettlement Action Plan Implementation responsibility of Executive offered jobs (PICU,

Engineer SPIG through NGO- SD Resettlement Expert)specialist.

Training on agriculture and allied activities to PICU helped by Resettlement Expert of the Number of personsPAPs as a part of MPWSRP R&R Cell. Implementation responsibility of trained (PICU,

Executive Engineer SPIG through NGO- Resettlement Expert)SD specialist.

Implementation of safeguards measures as PICU helped by Resettlement Expert. OK card of implementedper Resettlement Action Plan proposals & Implementation responsibility of Executive measures (PICU,ensure grievance redress Engineer SPIG through NGO- SD Resettlement Expert)

specialist.Evaluation of the success of programs & PICU helped by Resettlement Expert. See Table 8.4

Post safeguard measures undertaken through Implementation responsibility of ExecutiveImplementati consultations with PAPs. Follow up activities Engineer SPIG through NGO- SD

on Stage like modifications to the type of assistancespecialist.provided based on lessons learnt

Table 8-4 lists the Impact Indicators to be monitored in the Planning (through Socio-economic surveys)and Post Implementation Stages of the sub-project cycle to monitor and evaluate the impacts of theproject. In particular, close attention needs to be paid to the voluntary land donation to ensure that this


1{.SLU SENTC (Finalftpor

is truly voluntary. This would be done through the NGOs recruited for work at the division level as wellas through third-party verification.


S£EWq Thza(qpofl

Table 8-4: Impact Indicators for evaluation of PAPsItems Impact Indicators Frequency Agency

Economic Income: Project related & Independent means but assisted by the Planning Stage IndependentConditions project Post Implementation agency/internalHousing: Changes in quality over a period of time Stage monitoring by PICU &

Food SecurityChanges in occupation PACTSkill portfolioMigration profile

Social Verification of cases of voluntary donation of land Planning Stage IndependentConditions Representation in Community based institutions Post Implementation agency/Internal

Indicators of participation Stage monitoring by PICU &Empowerment PACTSchool enrolmentHealth and morbidityHousehold infrastructure: electricity, potable water, living space,etc.

848 ADTOr4 AL DETAILS RELATED TO RESELEMENT ACTION PLAN

8.8.1 ResefflementAction Plan Contents

In accordance with the Social and Environmental Management Framework prepared to integratedEnvironmental and Social Safeguard measures in the main project, all sub projects shall be screenedfor their likely adverse impacts, in the Pre-Planning Stage. If the sub-project requires resettlement, aResettlement Action Plan or an Abbreviated Resettlement Action Plan has to be prepared for theconcerned sub project. An Abbreviated Resettlement Action Plan shall suffice where impacts on theentire displaced population within a sub project are minor (as shall be the case for almost all subprojects in this project), or fewer than 200 people are displaced within each sub project.

Such a plan shall be prepared at the Planning and Design Stage of the project preparation, whereinphysical intervention measures shall be planned and designed.

Resettlement Action Plan:

The contents of the Resettlement Action Plan to be prepared for individual sub projects, consistent tothe Resettlement Framework, shall comprise of only additional information required as given below:1. Potential Impacts of sub project activities;

2. Baseline census (100%) and socio-economic baseline survey information (20% impacted households);

3. Valuation of affected assets and Compensation and other assistance for losses;

4. Specific compensation rates and standards;

5. Entitlements related to different categories of impacts identified through the census or survey;

6. Description of resettlement sites, where necessary, and programmes for improvement or restoration oflivelihoods and standards of living;

7. Community Participation & Integration with host communities;

8. Implementation schedule for resettlement activities; and

9. R & R Budget.


Abbreviated Resettlement Action Plan:

The contents of the Abbreviated Resettlement Action Plan shall cover the following minimum elements:1. Potential Impacts of sub project activities;2. Census survey (100%) of affected persons3. Valuation of assets, entitlements and Compensation and other assistance of losses;4. Consultations with displaced people about acceptable alternatives;5. A timetable and budget.

8.8.2 Guidelines on contents of RAP/Abbreviated RAP for sub-projects:

The RAP/Abbreviated RAP would be a part of the sub-project Scheme Modernization Plan (SMP) inthe form of an Annexure - though findings of the RAP shall also be utilised for addressing issuesrelated to gender, tribal development, etc. in the main SMP document. The Scheme ModernizationPlan would be the primary document that brings together the listing of activities related to physicalworks related to scheme modernization, R&R, gender action plan, tribal development plan,environmental management plan and their detailed costing and phasing. The purpose of a summarizedSMP is not to create a huge bureaucratic documentation burden for the implementing agencies, but toensure that these are fully mainstreamed into the scheme modernization plan in a simple andimplementable form. The documentation related to the SMP would be reviewed and revisedperiodically as required.

The documentation for the SMP is expected to include:

; Cover sheet for Appraisal;

> Scheme Background, description, schematic, asset status;

> Institutional Setting;

> Key Issues (referring to maps, photos) in water / irrigation /agriculture /horticulture/livestock/fisheries etc;

> Baseline/Key Stakeholders/Consultation/PRA/Joint walkthrough results;

> Summary of Key Activities Proposed for Scheme Modernization (with procurement packaging);

> Technical Aspects (hydrology, designs, irrigation /agriculture/horticulture/livestock/fisheriesaspects quality control, etc.);

> Economic and Financial Aspects (incl. costs and benefits, contribution, economic and financialanalyses for each scheme, etc.)

> Environmental and Social Aspects (SEMF application of all relevant plans)

> Training Plan


1 ! SSENT TFina( pool

> Monitoring & Learning Plan

> Any Issues of Special Concern in the Scheme Modernization

Annexes:

> Topographic and other maps

> Photographs

> Joint Walkthrough map of Issues and Options

> Consultation summary

> Other Data

> Draft MOU (with institutional responsibilities, etc.)

The documentation for the SMP would be kept simple and brief and would be a mix of qualitative andquantitative dimensions.

8.8.3 Approval of Resefflement Action Plan

The following Committees as per the scale of Resettlement (Major or Minor) shall review and approvethe Resettlement Action Plan.

State Level Committee (in case of Major Projects- those which necessitate transfer of 100 acre or more landdue to land acquisition or for any other reason), Refer Section 11 of State Policy on Rehabilitation.

* District / Division Level Committees for minor projects. Refer Section 11 of State Policy on Rehabilitation.The Resettlement Action Plan would also require formal clearance by the World Bank.

8.9 Valuation of Assets

The Valuation of assets lost as a result of Involuntary Resettlement shall be calculated on the followingbasis:

* Valuation of lands in private possession, replacement value will be paid to the concemed person.

* Valuation for house - The amount of compensation for all other properties like house, will be equal to theexpenditure that would have been incurred on restoring it to its original condition.

* Valuation for trees -The price of fruit bearing trees will be determined on the basis of the annual income fromfruits of the tree and the value of its wood.

8.8.4 Voluntary contribution

In some small scale projects with ensured benefits to local community the beneficiaries may decide toprovide affected land, where necessary, through voluntary donations without payment of anycompensation.

The proceedings for voluntary contribution should be documented. The documentation should specifythat the land is free of any squatters, encroachers or other claims.


8.9 ORGANtZATIONAL PROCEDURES FOR RAP IMPLEMENTATION

The organisational procedure for implementation of the Resettlement Action Plan after its approval bythe concerning administrative department is as follows:

* The outline of the project along with the Resettlement Action Plan after its approval by the concernedadministrative department will be published in local dialect for public information in the project area and willalso be presented before the gram sabhas and in case of urban areas before the urban units for theirinformation. The same system will be followed in private schemes also.

* Under section - 4 of the Land Acquisition Act, the process of primary notification may be started. During thisprocess, and otherwise, too, people and their organisations will have the right to seek information about anyaspect of the project.

The resettlement sites will be selected in consultation with the affected as well as the host communities. Forthis, first the potential affected persons will be properly informed about the new area and their visits to thenew area will be organised to acquaint them with the families already living there. Any action for newsettlement will be taken only as per the advice of the affected as well as the host communities.

Entitled persons, their eligibility and entitlements as identified in the RAP shall be verified and the ProjectAuthorities in co-ordination with the Revenue Department should disburse'their entitlements.

The organizational arrangements for implementing the R&R activities under the MPWSRP are outlinedin the following figure along with the responsibilities for the key agencies.

Organizational Angenrnts and Roles for R&R

I [ Rehabilitation! ater Resources DeparbTrent (Departnt

!Ade Pdicyaiaice m R&R iss

ProjeImplentation EninState-Level R&R Comnittee

Coorcination Unit (PICU) I easm tur= ta s PT *Pmewandrnonitcal lross*Sevise and mnita oeal prsess as

per t R Frarraok d MIPV\ V

I BasinChiefEngineer* I(e hirxrcd to i a uu l tx ib for ,2ayrerts

|Setirtenrdng Engneer*SiseEansadRpasdl (Where applicab e) l

*Frefiraii ais w afcrpfrts A

E,x|ive Eninew | District/Divisional-Level R&RCornnittee (headed by District

l dertificalia of haitalicnareaPlcn ofaansd RR pposa Cllector/Divisiorial

u* brit poposd to c±strict Cdlector aw Cminissioner)lcpy to SE* Sggest amtive raubitaitn sites * Fird auhitym FonPilitafia & Pesetfwert

n* basis d VdLwticn repcxt, pit Of As*ra icn by Valn Oicer (isu.u ipliu1 ald aTut to Cdollecr EE AV¶Y/ DF.OAeblitaticn Cffice)*i-kIftcri p1ltakJ forL4& I - J d I V, .h. I -d

Madhya Pradesh Water Sector Restrudk1Urh i ). ' icassistace P*FaentdcturrpeanforR3bilitarijm& 8-17| * ta,nt f rebilitaton es P smanert

----------------------- ---------~- - ~- ------ -~ ~ -~~~ *G(ievare reessal

II- s~FDVPF !inagWpon

Table 8-5: Responsibilities of different entities at each stage of the R&R process

Activity--- Identification/Planning Implementation of R&R Monitoring & GrievanceRedressal

Entity

> Prepare guidelines, > Supervise and review > Regular monitoring ofPICU providing oversight. progress in every basin. reports.

> Performing grievanceredressal.

> Identify potential > Contract NGOs to > Monitor work of NGOsSPIG projects with R&R issues; assist with R&R activity and ensure that R&R

> Identify PAPs & extent > Coordinate with District activities are carried out asof resettlement involved Collectorate on matters planned.and prepare plans. related to land acquisition > Ensure that

> Budget for and ensure etc. compensation gets paid toavailability of adequate > Carry out R&R activity those entitled on time.funds for carrying out R&R as per plan;activities;

> Facilitate interaction > Undertake > Undertake regularNGOs between WRD and socioeconomic surveys to monitoring of economic

communities; establish status of those status of resettled families.> Identify income having to be resettled or > Facilitate access of localgenerating activities rehabilitated. communities to grievancerelated to project; > Implement alternative redressal.

income generatingactivities along withrelated training.

> Identify R&R issues > Ensure payment of > Help draw attention ofWUA > Conflict management. appropriate compensation authorities in case there are

> Ensure effective to those affected. needs for grievanceinvolvement of PAPs in the > redressal.Resettlement process. >

> Advice on issues > Review R&R norms on > Ensuring that the R&RState-Level related to State Policy; a periodic basis and framework is able to

Resettlement > Help draw attention of recommend revisions in address needs of affectedCommittee authorities in case there compensation terms to communities.

are needs for grievance keep in tune with ground > Grievance redressal.redressal. realities.

> Final authority on > Land acquisition > Grievance redressalDistrict/Division Rehabilitation & compensation award

-Level Resettlement. > Payment ofResettlement > Assessment/valuation compensation for

Committee by Valuation Officer Rehabilitation &Resettlement

8.9.1 8.12 Grievance redress mechanism

The grievance redress mechanism as detailed in the SPOR (Refer Section 21 of SPOR: Settlement ofDisputes) is as follows:


1 ! S T Tina(f pon

All plans will be fully whetted by the WUA and the SPIG members and it would be the responsibility of theNGO contracted at SPIG level to ensure clear understanding of the plan amongst the concerned PAPs. Incase of disputes or disagreements, where PAPs particularly members of scheduled castes and scheduletribes do not agree to the plan presented for them, the cases will be considered by district / division levelcommittee with the SPIG members and concerned NGO playing an active part under the overall guidance ofthe PICU R&R expert.

* Disputes pertaining to any matter within the ambit of the Resettlement Framework / SPOR and itsimplementation, such as identification of the beneficiaries, the benefits to them etc., will be, as far as possible,resolved by the district division level committee with due facilitation by the SPIG members and under theoverall guidance of the R&R expert at PICU.

* Special land acquisition courts will be established for disposal of cases pertaining to acquisition of lands, toavoid delay in their disposal through normal judicial process.

8.13 R&R Budget

All resettlement funding shall be through the main project. Separate Resettlement Action Plans orAbbreviated Resettlement Action Plans, where necessary, shall be prepared for each sub projectduring the Planning & Design Stage. Detailed Cost Estimates based on intervention measuresproposed shall be prepared and approved by the State or the District / Divisional Committees. Thedocument shall then be submitted to the Bank for its approval and subsequent release of funds. Table8-6 provides the components to be considered while calculating the R&R budget.

Table 8-6: R&R Budget Components

Components of the R&R Budget No. of EPs Rate of Total AmountCompensation/Assistance

Compensation for Loss of Agricultural LandCompensation for Loss of Residential Land(Rural / Urban)Compensation for Loss of Urban Land ------------------------------------------------------------------------------Compensation for Loss of StructuresCompensation for Loss of trees

---- L or-------------------------------------------------------------------------Compensation for Loss of reusable assetsAssistance towards elay in process of-----------------------------------------------------Assistance towards delay in process of

resettlementAssistance towards Hardships in immediatereestablishmentAssistance towards Shifting hardshipsAssistance towards Hardships duringTransition periodAssistance towards Lack of financial supportduring transitionAssistance towards Loss or diminishedlivelihood

-------------------------- -------------------------------!.----------------------

Assistance towards Loss of CommunityResourcesAssistance towards Loss of access toFacilities


II-M SBtgdS ' Finafftpof

8.14 Participatory Framework

As the whole activity under R&R is multi-disciplinary in nature, it is an absolute necessity to haveeffective participation, cooperation and involvement of most of the basin level and project level officialsto prepare and execute suitable rehabilitation plans. In case of any grievances regarding therehabilitation the project affected persons shall approach the R&R Cell that will be established at thehead office level of the WRD.

A Participatory Approach is proposed for preparation and implementation of the Resettlement ActionPlan. The participatory process, consisting of consultations, joint walkthrough, PRA, etc. followed inthe sub project cycle has already been presented in Chapters 1 to 5 of the present report. Theseactivities in addition to survey of PAPs shall ensure participation of the affected community in the subproject activity in the entire decision-making process (Refer Table 8.3).

This is also in conformation with the State Policy on Rehabilitation, which states that the followingconsultations are pre-conditions for any development work:* Consultation with Gram Sabha for acquisition of land for public purpose like construction of any project or for

any other work and / or alternative use of other resources.

0 All economic establishments will require presenting their stand in an open forum. The State government insuch a situation shall stand for the weaker sections and to protect their interests. In case of tribal societies itwill be specially seen that any step of the State or any action of the parties concerned does not create a rift insociety.

8.15 Implementation & Monitoring

Basic responsibility of R&R for the water resources project is vested with the Water ResourceDepartment (WRD). The R&R related activities shall be implemented and monitored in consultationand support from the concerned line departments, NGOs and external agencies. The projectauthorities shall constitute R&R cells within the department for timely preparation and effectiveimplementation and monitoring of the R&R program (Refer Figure on Organisational Arrangementsand Roles for R&R in section 8.9).

Implementation and monitoring mechanism proposed in the project have already been presented in thefollowing Tables:

* Table 8.3: Monitoring of Process and Output Indicators and Responsible agencies (Pre planning, Planningand Implementation Stages);

* Table 8.4: Monitoring of Impact Indicators and Responsible agencies (Post Project Stage);

* Table 8.5: Overall responsibility of various agencies in R&R.


9. PEST MANAGEMENT PLAN

9.1 PROCEDURES FOR PREPARATION OF IPM

The proposed activities related to IPM and INM are to be taken up by an external agency includingmonitoring and evaluation (facilitated by the SPIG and Agriculture Specialist). This team wouldevaluate the IPM component for effectiveness and scaling-up implications. Procedures for Preparationof IPM are presented in Table 9.1.

Table 9.1: Procedures & Indicators for IPM Plan

Process, Outcome & ImpactSub project Procedures Co-ordinator Indicators (Monitoring

Agency)planning Preparation of Thematic Maps on Agriculture, Soil, Agriculture Department List of agriculture relatedPrte Geology, Water Resources, Fertilizer use, Pesticide helped by SPIG & features

use, etc. of sub-project areas Agriculture Expert (Agricultural Expert)Sensitisation through Joint walk through and Agriculture Department List of all sensitive issues andConsultations to identify cropping patterns, Survey on helped by SPIG & banned agrochemicalstypes of Fertilizer, Pesticide use, etc. Agriculture Expert (Environmental & Agricultural

Experts)Identification of environmental and social impacts of Agriculture Department List of all likely impacts relatedagricultural practices inclusion of the concerns into the helped by SPIG &to agriculture & requirementsSCI and SC2 screening Matrices of the SEMF. Agriculture Expert of IPM Plan (Environmental,

Social & Agricultural Expert)Planning and Joint walk through, Consultations and PRA techniques Agriculture Department List of Spatial & Non spatial

g S to disclose concerns related to existing agricultural helped by SPIG & issuespractices Agriculture Expert (Agricultural Expert)Training on IPM and INM along with projected benefits to Agriculture Department List of Safe guard measuresthe farming community & alleviate apprehensions related to helped by SPIG & (Agricultural Expert)productivity due to change in water regime in the catchment AgicIt Ex tand command areas ArclueEprSetting up Information Kiosks, Organic Certification of Agriculture Department Number of Kiosks, Certified

Implementati Agricultural Products, Demonstration Projects with helped by SPIG & Products, Demonstrationapproved agrochemicals only, Training material restricted

on & Post to mention of approved agrochemicals only, Pesticide Agriculture Expert Projects, Levels and types ofImplementati Residue tests, etc. Pesticides in soil & water

on Stages (Environmental & Agriculturalexperts)

9.1.1 Integrated Pest Management (IPM)

IPM involves carrying out management activities that result in the density of the potential pestpopulation being maintained below the problematic pest level, without endangering the productivity andprofitability of the farming system, the health of humans and animals, and the quality of the adjacentand downstream environments. The interventions underlying IPM shall:* Increasing biological diversity to disrupt pest habitat through periodical replacement of cultivated crop

varieties, intercropping, crop rotation and crop diversification oriented to disruption of pest habitat andconsequential minimization of pest incidence.

* Adoption of farming practices to escape pest incidence through appropriate tillage practices; trashmanagement and optimising sowing date such that possibility of pest/disease occurrence is minimized.


LWS£9k F TinaRqort

Cultivating crop varieties resistant to pests and diseases.

Adoption of bio-control agents such as application of plant/bio-products (bio-pesticides) and augmentinginsect pathogens or other natural enemies (including birds).

Use of chemical pesticides only when other measures including host resistance and bio-control agents arenot able to keep pests below economically damaging levels. Application of pesticides shall be done in a waythat minimum undesirable side effects occur. It should be understood that the vertisols in Malwa region couldbear with greater pollutant loads because of greater soil adsorptivity than the Alfisols and the Enlisols inRewa and Sagar regions.

Increasing the farmers' awareness levels on IPM through conduct of technical training courses at villagelevel. The training shall focus on philosophy and principle of IPM, identification of different insect pests anddiseases, and application of different IPM strategies including selection and usage of chemical pesticides.Extension agencies and NGOs shall be involved in organizing the training courses.

Extension agencies shall organize regular field demonstration activities pertaining to application of IPMtechnology.

Mass Media such as TV and Vernacular News Papers shall transmit information and knowledge on IPM.

* Pesticide retailers at village level shall be provided with information materials to increase their knowledge onselection and usage of pesticides since farmers seek their advice on pesticide usage.

Measures to Increase Farmers' Preference to IPMMaking quality biocontrol agents/biopesticides available at village level through the involvement of localNGOs.

Making available the seeds of improved pest/disease resistant HYVs.

Encouraging farmers to adopt IPM practices including use of chemical pesticides, based on properunderstanding of farmers, resources, knowledge, attitudes and perceptions with respect to IPM.Monitoring and forewarning to farmers of pest and disease situations.

Providing subsidies to farmers for adopting IPM technology.

Allowing price premiums on agricultural produces based on IPM technology.

Facilitating certification and marketing of IPM - based products.

Help create institutional arrangements for IPM enforcement.

Securing NGOs' involvement in persuading farmers to opt for adoption of IPM technology.

9.1.2 Integrated Nutrient Management (INM)

Public consultations at various levels indicated that under the existing cropping systems, the nutrientoutputs grossly exceed the nutrient inputs and the fertilizer use efficiency is sub-optimal. The mostappropriate strategy for reducing the scale of mining and for increasing fertilizer use efficiency is topractise INM. The basic principle of INM is the maintenance of soil fertility, sustaining agriculturalproductivity and improving farmers' profitability through the judicious and efficient use of mineralfertilizers, organic manures and biofertilizers. The INM package has area-specific implicationsdepending upon the availability and performance of the various components.

The interventions underlying INM shall:


* Adopt Soil-test based optimum nutrient use levels, ensuring adequacy of P level to meet the competitivedemands of crops and P-fixation capacity of soils

* Working model for integration of organic manures and NPK fertilizers for sustainable high yields/farmers'resource - based target yields

Inoculation of soybean and other legume seeds

Inclusion of legumes in rotation

* Adopt improved (modern) crop management practices to ensure cultivation of HYV, timely sowing andadequate crop stand establishment, timely weed control and plant protection, and proper water management.

* Shall accelerate the adoption of INM through:

* Technical training courses at village level for improving farmer's knowledge base. The training shall focuson concept and contents of INM, integration of organic and inorganic resources in consideration offarmers' resource base for mobilizing various nutrient sources, improvement of quality and quantity ofFYM making use of Nadep compost system, including vermiculture and use of bio fertilizers. (Extensionagencies and NGOs shall be involved in organizing training courses).

* NGO's shall be involved in:

* Orienting farmers to organic and biodynamic farming approach involving the use of FYM, green manures,crop residues, vermicompost, bio fertilizers and bio pesticides while understanding their resources andtargeted yields.

* Facilitating certification and marketing of certified organic produces with appropriate price premiumsthrough Government Departments

* Institutional mechanism shall be created for facilitating adoption of INM in general and organic farming inparticular, and for monitoring of practices adopted in producing organic products, keeping full track ofproduction processes and products from field to sale point as well as for arranging organic certification andmarketing

In addition to the above-mentioned interventions, the implementing agency shall ensure that the PestManagement Plan shall:

* Document the list of all pest control products and confirm that they comply with the selection criteria in OP4.09

* Under the existing practices and pest management concerns to ascertain that, the project planning andimplementation stages address the issues.

* Ensure that main elements of the plan are reflected in the works contractor legal agreement.

The implementing agency shall review the same periodically for effective implementation including thepost implementation monitoring after one year to appreciate the level of achievement.

9.1.3 Monitoring and Evaluation (M & E)

The M & E will involve establishing a base line on the current status to evaluate the impact of projectinterventions. The M & E of IPM will be based on pre-defined parameters such as adoption ofcompanion cropping system, planting of trap crops, following crop rotations, adoption of biological andmechanical methods of pest control, use of parasites and predators, adoption of bio-pesticides.


LW EL SEWF Tinafi l o

92 IPM & INM TRAINING COSTS

As a part of the MPWSRP several programs have been devised to generate awareness towards IPMand INM practices. The tentative costs of such programs are given in Table 9.2


SENMTF ThinafWpofl

Table 9.2: Costs of IPM & INM Programs

Si. Total Quantity Unit Cost Total CostNo. Item Institution Units for 6 years (INR '000) (INR '000)1 Farming Demonstration (INM) Agricultural Dept. Hectare 5,700 4 22,800

2 IPM Village Agricultural Dept. No. of villages 500 100 50,000NADEP Composting

3 Demonstrations Agricultural Dept. Numbers 40,000 1.5 60,0004 Vermiculture Demonstrations Agricultural Dept. Numbers 40,000 1 40,000

Demonstration for Vegetable5 Production Clusters Horticulture Dept. Numbers 550 50 27,500

TOTAL 200,300Source: WRD

Madhya Pradesh Water Sector Restructuring Project 9 5

10. CULTURAL PROPERTY MANAGEMENT

10.1 PROCEDURES FOR CULTURAL PROPERTY MANAGEMENT

Procedures to be followed for identification of cultural properties and values of significance attached toirrigation schemes have been presented in Table 10.1. A Cultural Property Expert shall be hired as perrequirement for cultural property assessment in the sub-projects.

Table 10.1: Procedures & Indicators for Cultural Property ManagementSr. Stages Procedures Co-ordinator Process & Outcome IndicatorsNo1 Preplanning Identification of significant cultural properties SPIG with the Spatial location of cultural

and various stakeholders at site help of Cultural properties on map & List ofProperty Expert. Stakeholders (SPIG)

Stakeholders Consultation for identification of Number of Consultations, List ofvalues & possible impacts SPIG with the Issues (SPIG)

help of CulturalProperty Expert.

Classification of cultural properties into: List of Cultural Properties with* National Archaeological significance SPIG with the associated significance (SPIG)* State Archaeological Significance help of Cultural* Regional Cultural Significance* Local Cultural Significance

SPIG with the Requirement of clearances orInclusion of issues and impacts into the SC' help of Cultural detailed consultations for Planningand SC2 screening Matrices of the SEMF. Property Expert. Stage (SPIG & Cultural Property

Expert)2 Planning Stage Stakeholders consultations for identification of SPIG with the Inclusion list of agreed safeguard

impacts due to sub project interventions, help of Cultural measures in the draft plan. (SPIG)agreement over mitigation, compensation and Property Expert.enhancement measuresApproval of Stakeholders on the final plan SPIG with the Signed Minutes of Meeting (SPIG)proposals help of Cultural

Property Expert3 Implementation Implementation of compensation, relocation SPIG with the OK card on implementation of all

Stage and impact mitigation measures before help of Cultural listed safeguard measures (SPIG)initiating physical sub-project activities Property ExpertMonitoring for possible impacts during SPIG with the Number of grievances (SPIG &construction help of Cultural Cultural Expert)

Property Expert4 Post Stakeholder Consultations to ensure proper SPIG with the ICR (SPIG & Cultural Expert)

implementation implementation of safeguard measures for help of CulturalStage preparation of ICR Property Expert

The procedures laid down in the Table have been further discussed in the following paragraphs forgreater clarity.

10.1.1 Criteria for Selection of Cultural Properties - Pre Planning Stage

The criterion for the selection of sites suitable for enhancement has to be based on four factors.* The historical importance,


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* Importance for the local people,* The religious significance,* Scope for enhancement if any required.

The importance.of the site for the local people as well as the historical significance has to be identifiedthrough extensive discussions with the local community and general observations of the sites andstructures. The scope for enhancement includes the possibility of any further improvement, availabilityof space for enhancements and the likely benefits for the local community. Poor condition of somehistorical structures could be a constraint in selecting sites for enhancement. Such sites though havinghigh historical values may exist in a very bad physical condition. At such places, enhancementmeasures have no meaning without restoring the main structure, which is beyond the scope of theenhancement works.

10.1.2 Categorization of Properties - Pre-planning Stage

In case of non-avoidance of negative impacts, consultation with the communities and the variousstakeholders including the Governmental and Non-governmental organizations in the project area hasto be conducted as an integral part of the project preparation. Further the properties have also to becategorised into different types based on their usage, social importance and historicalIregional/national significance. By taking into consideration of those values some of the properties mayeven have to be considered for enhancement.

The information gathered should include the age of the structure, importance for the local people,religious significance, historical importance, the size of the population using it, suggestions forenhancements, willingness of people to participate, etc. The site observation also provides vital inputsin concept formulation. It provides the general information about the condition of the main structure andthe surrounding, visibility of the enhancement site from the project area, the scenic beauty of the siteas well as the surrounding area etc.

All relevant information like consultations, documentations, etc. of the Cultural Properties should beincorporated into the GIS Knowledge Base.

10.1.3 Consultation Process - Planning Stage

Community consultation has to be undertaken to make explicit the social factors that remain behind theimportance of the site for the local people. Also it may be carried out to know the associatedsocial/historical significance in discussions with the local community and general observations of thesites and structures. The consultation process includes the socio-cultural analysis and specificallyaddressed issue of how the community can get best benefit out of it. The consultations are normallyheld at local (community) level. The objective of the consultation is to minimize the negative impacts inthe project area and their involvement in the enhancement process. The process further has to try toidentify and assess all major economic and sociological characteristics of the village to enable effectiveplanning and implementation. During the process, efforts may be made to ascertain the views andpreferences of the stakeholders.

Suitable Questionnaire shall include formats for documenting the community consultations carried outespecially at the enhancement/relocation sites bringing out the key concerns of the stakeholders and


HOAKA SE3PFinaf &jpoil

actions/modifications taken with regards to those suggestions. Valid reasons shall be placed in thedocumentation if certain suggestions are not incorporated in the plan proposals.

The likely impacts at different stages have to be documented and corresponding mitigation measureswith the responsible agency for undertaking the implementation of mitigation measures. The WRDshall be responsible for the monitoring of the activities that are implemented as part of any sub-projectby the works contractor.

10.1.4 Proposed Actions /Mitigation Measures - Implementation Stage

Proposed actions refer to the positive actions to be undertaken during the implementation stages of thesub-project for the benefit of the stakeholders. The mitigation measures proposed for religious/culturalproperty/space shall be part of the project and will be solely finalised based on the concerns of thestakeholders.

In case of property having historical importance, wherein Archaeological Survey of India comes intopicture and the procedures of the ASI Department along with World Bank requirements as mentionedearlier shall be complied.

Mitigation measures like tree plantation along the newly dug unlined canal system to prevent erosionshould be taken in a manner wherein the stakeholders are given the joint ownership along with theconcerned departments for effective implementation. The documentation of the process followed willhelp review the outcome of the interventions in the post implementation stage of the sub project.

10.1.5 Post Implementation Stage

Reconnaissance visits after a year to the completed sub-project sites by WRD for assessment andrectifications of any long-term impacts due to sub project interventions shall be carried out. Thedepartment shall also review the outcomes of the interventions as documented in the previous stage ofthe project implementation to be aware of the accomplishments.


1. COMMUNITY CONSULTATION

The project activities need to be conducted in a strong participatory framework. The WUAs would befacilitated by NGOs to encourage participation, especially from women and other vulnerable groups.The project physical interventions should require strong consultations and a joint walkthrough todetermine problems and potential options on a spatial basis. The project also provides substantialopportunity to consult communities in overall water resources management at a sub-basin and basinlevels as well as in the functioning of the regulatory agencies. The aim is to build an effectivepartnership between accountable government agencies and empowered clients (e.g. WUAs) that arerepresentative, transparent and effective in managing the schemes to improve productivity of theseassets and further strengthen participatory irrigation management in the state.

Phase-wise need of consultations:

The project life cycle has been divided several phases for effective management. Briefly the need forconsultations through the phases is outlined here.

PreDlanning Stage

The foremost requirement of this stage is Disclosure of Project Interventions to all concernedstakeholders in the sub-project area. This phase is for identification and prioritisation of the projects.Consultations here would be largely with the community and WUA to identify needs and concerns toidentify appropriate projects and assign priorities. These consultations would be more to establishdemand rather than what can be provided. Some official consultations could also be carried out toprovide feedback from the community and also to fix priorities.

The foremost requirement of this stage is Disclosure of Project Interventions to all concernedstakeholders in the sub-project area.

Planning & Design Stage

It is necessary to develop a stakeholders' participation plan, eventually leading to consultations at thisstage would be to develop physical plan for proposed projects. Some consultations here would becarried with the community but most should be with WUA, DC and PCs. If the project is to becomemore participatory then it is necessary to carry out extensive consultations during this phase. Thedesign phase would require technical inputs and thus primary consultations would be with projectfunctionaries and design consultants. However, here also people should be part of the consultations asthe project is going to affect them. Some situation requiring extensive consultations with the peoplewould include: preparation of dam safety plan, pest management plan, Cultural property managementplan, Resettlement Policy framework, tribal development strategy & Action Plan and Gender ActionPlan.

The foremost requirement of this stage is to undertake Joint Walk through with to all concernedstakeholders in the sub-project area.

ImNlementation and Ooerational Stages

Madhya Pradesh Water Sector Restructuring Project ,

At the implementation phase, primary tasks would be rehabilitation of structures and strengthening ofstructures. There would be a need to enhance stakeholders' involvement during these processes. Thisphase would ensure maximised participation of all stakeholders. Consequently, at the operationalstages participation would ensure improved project performance and equitable distribution of projectbenefits. Regular consultations would decrease possibilities of conflicts.

Post Implementation Stage

Once the project has been implemented and peoples' demands have been factored in occasionalconsultations would provide constant feedback as project monitoring tool. There is a need forconsultations as a tool of agriculture extension. Consultations would help in agricultural diversification.A community monitoring systems should be developed and implemented.

Village Immersions (an overnight stay in sub-project villages) to adequately record the success andshortfalls of the project shall be undertaken as a lesson learning exercise.


12. DAM SAFETY

12.1 ACTION PLAN

"Guidelines for Safety Inspection of Dams" issued by CWC gives a detailed description of worksrelated to inspection and analysis for assessing safety of an existing dams, it was tried to identify someessential components as action plan. These are to be applied in conjunction with the CWC publication,which describes all the items in detail.

Dams shall have to be classified in accordance with size and hazard potential in order to formulatebasins for selecting dams for inclusion in the inspection programme and fixing the priority.

Size Classification

Determine the size classification by either storage or height; whichever gives the large size category asper the following Table 12-1.

Table 12-1: Size ClassificationCategory Storage (Ha) Height (Mts)

Minor < 12.5 and Ž 6 <12 and Ž 8Medium > 12.5 and < 6250 12 and < 30

Major Ž 6250 Ž 30

Hazard Potential

The classification for potential hazards shall be determined in accordance with the Table 12-2 below.

Table 12-2: Hazard Potential ClassificationCategory Loss of Life (Extent of Development) Economic Loss (Extent of Development)

Low None expected (Non-permanent structures Minimal (undeveloped to occasional structures or agriculture)for human habitation)

Significant Few (no urban developments and no more Appreciable (Notable agriculture, industry or structures)than a small number of inhabitablestructures)

High More than few Excessive (extensive community, industry or agriculture)

Selection of Dams to be investigated

The selection of dams to be investigated shall be based upon an assessment of existing developmentsin flood hazard area. These dams possessing a hazard potential classified high or significant asindicated in Table 12-2 shall be given first and second priorities, respectively, in the inspectionprogramme. Inspection priorities within each category shall be developed from a consideration offactors such as size classification, age of the dam, population size in the down stream flood area andpotential developments anticipated in flood hazard areas. Collect engineering data for all the dams ina basin/sub-basin as per Format 1.

Field inspection

The field inspection of the dam, appurtenant structures, reservoir area, and downstream channel in thevicinity of the dam shall be conducted in a systematic manner to minimize the possibility of any


significant feature being overlooked. Based on the guidelines issued by CWC and the findings of thefield works conducted for ESA-MWSRP a checklist is prepared and presented in Format 2.

Evaluation of Hydraulic and Hydrologic features* Analyse all the data collected under item (C) Hydrology of Format 1 to assess the discharge capacity and /or

storage capacity, which should be capable of safely handling the recommended spillway design flood.* For more important projects dam break studies may be carried out.

* The spillway capacities and free board allowances of a very vulnerable dam should be adequate to insureagainst failure of the dam during the most severe flood or sequence of floods considered reasonablypossible, irrespective of the apparent infrequency of occurrence of controlling conditions.

Evaluation of Structural stability

These should be based on design and construction data, operating records post construction changesand seismic stability.

If required more detailed investigation and analysis shall have to be carried out as per "Phase II-Investigation" as described in Chapter IV of CWC Guidelines. In addition accessibility of the dam sitesand control structures shall have to be assessed and action initiated to ensure it. Proper publicawareness programmes shall have to be implemented for the population may be affected by anycatastrophic condition or failure of dam. Representatives of population residing downstream of thedam shall have to be involved in operation and maintenance of the dams.

12.2 ACTION PLAN FOR DAM AETY AT DIFFERENT STAGES.

Keeping in view the materials given in the preceding pages, a summary action plan is suggested asbelow:

a) New Dams (not proposed under project)

New Dams shall be investigated, designed and constructed as per the guidelines/ procedures and IScodes and the State-of-art Dam engineering. However, the designs can also be verified by the Damsafety organization of the state. It is necessary that a complete report giving all the details ofhydrological evaluations, geological data and analysis, Construction material quality and constructiondetails and all data and drawings is prepared along with the completion of the project. Work on thisshould be commenced by the Chief Engineer in-charge when 50% of the project work is completed.The report should contain all-important drawings of the dam as constructed including geologicalfeatures as revealed after excavation, technical and quality control data that need to be kept forposterity. Preparation of design memorandum of all the aspects of design is a good practice, whichshould be applicable to major and medium projects. It is desirable that a panel of experts guides allmajor and medium projects even from the stage of design, if not investigation till the project iscompleted. Each project should have an operation and maintenance manual prepared in consultationwith the design and construction engineers. In addition for each project, a disaster preparedness planis to be prepared.


12.2.1 OLD DAMS

( I ) Pre- Planning Stage

All dams should have completion reports giving all requisite topographical, hydrological and geologicaldetails and construction drawings giving details of foundations and superstructures and foundationtreatment and other special provisions built in. These should be carefully preserved in the office of theExecutive Engineer who should also inspect once a year all the dams above 30m in height under hischarge. The Assistant Engineers should inspect every year all the dams in their charge and preparereports in Format 1 and also indicate, if in their opinion, any malfunction is observed so that the seniorofficer could look into the same. All inspection reports prepared by the Executive Engineer should besubmitted to the Superintending Engineer who will examine these and forward the reports of thosedams to the Chief Engineer, which have manifested some problems, which may call for, furtherinvestigations. The chief Engineer after considerng the recommendations of Superintending Engineerand after making a detailed site visit may recommend these cases to the State Dam safetyOrganizations for their opinion on further action. There is a need to set up a Dam Safety Panel forsmall dams (the current panel is only for large dams) that can be headed by a Chief Engineer or SE toalso account for dam safety aspects of small dams on a systematic basis.

( II) Planning Stage

Before planning the remedial measures the dam would be inspected in detail by the Chief Engineerand/ or the Experts in the State Dam safety organization who will suggest further surveys andinvestigations will to be carried out for the remedial measures which they would suggest based on theirexperience of similar situations observed in the State or else where in the country or abroad. Based onthe data of the surveys and investigations, the rehabilitation works will be designed under thesupervision of Chief Engineer or the dam safety organization who will suggest the method ofconstruction to integrate the new addition with the existing structure and the ways of maintaining themodified structures and attending to any further deficiencies if they arise. Thus the planning phase willcover both planning and the Designs as well as the preparation of specifications and Tenderdocuments.

( II) Implementation Stage

Implementation may be under contract or departmentally depending on the nature and quantum ofwork that will be executed according to design prepared. The work will be closely supervised by theofficers in charge of the Dam. So for as major dams are concerned, the rehabilitation works would alsobe inspected by the Chief Engineer at as close intervals as he considers fit and by other junior officersat time intervals fixed by the Chief Engineer.

( II) Post Implementation Stage

If the Rehabilitation works are done properly as per specifications under close departmentalsupervision the structure is expected to provide benefit for a long time to come. Still regular annualinspection is required to be done and minor problems if any discerned should be attended immediately.Table 12-3 shows the stage wise operation Guidelines for Dam safety plan.


VAA SENT Finaftport

Table 12-3: Stage wise operation Guidelines for Dam safety plan

Pre-Planning Planning Implementation Post-implementation*Collection & Study of Dam safety law, *Analysis for assessment of *Distribution of * Close watch onManual, if any & other literature related to hydrological, Geological & responsibility of behavior of the dam.dam safety. structural review of the work among staff.

dam.* Collection and study of literature related *Finalisation of the *Execution of work * Measurement ofto Dam Safety technology and components and reaches as per scope of different parametersprocedures for adopting suitable remedial needing intervention in works and related to dam safety &measures. terms of "Top-Width", specifications as comparison with pre

Slopes, U/s Protection, D/s given in the implementation status.Protection, Boulder-toe, D/s agreement.Drainage arrangement,Surplussing arrangementincluding EDA, Sluice andGates, Excessive seepage/piping risks through bodyand foundation of Dam,subsidence of slope andfoundation, holes createdby burrowing animals/white ants, longitudinal andtransverse cracks;obstruction andretrogression in spill andapproach channel;measuring devices/instrumentation andauxiliary arrangements,ageing etc.

*Study of original DPR of specific *Conducting detailed *Conducting tests * Assessment ofscheme/project related to construction & Geological and Engineering for quality control for environment impacts dueperformance. surveys/ investigations. ensuring quality of to interventions.

work in accordancewith thespecifications.

*Study of historical problems of dam *Testing of materials *Registering * Quantification ofsafety & their solutions. consumption of water saved if any, along

construction with enhanced dammaterials & POL, safety.MAS A/C etc.

*Study of old inspection notes & SDSO *Measurement of dam *Keeping * Assessment ofreports. safety related entities. measurement of benefits derived from

work done & saved water andlogbooks. comparison with baseline

data.*Inspection of dam as per TC-3 and TC- *Identification of quarries *Monitoring of * Preparation of3A & documentation of present problems and testing of construction construction Implementationrelated to dam safety. materials. program. Completion Report

(ICR).* Identifying the components and reaches *Preparation of designs, *Installation of * Documentationneeding intervention in terms of "Top- drawings & estimates. Instrumentation & of lessons leamt.Width", Slopes, U/s Protection, D/s measuring devices.Protection, Boulder-toe, D/s Drainagearrangement, Surplussing arrangementincluding EDA, Sluice and Gates,Excessive seepage/ piping risks throughbody and foundation of Dam, subsidenceof slope and foundation, holes created by

-burrowing animals/ white ants,


mlm. SBEW Tinalfto•

Pre-Planning Planning Implementation Post-implementationlongitudinal and transverse cracks;obstruction and retrogression in spill andapproach channel; measuring devices/instrumentation and auxiliaryarrangements, ageing etc.*Identifying the existing and needed basic * Finalising specifications. *Ensuring labour * Preparation offacilities. laws. Operation and

Maintenance plan forperiodic maintenance ofvarious components.

*Review of design floods and decision on * Preparation of CPM/ *Recording of * Observation ofmitigation measures if needed. PERT measurements effect of interventions on

behavior of dam & itssafety.

*Preparation of detailed maps for reaches *Finalising progress *Preparation of bills. * Assuredneeding interventions. indicators. arrangements for

continuance ofmaintenance.

*Appraisal with WUAs on dam safety *Finalising performance *Audit. * Arrangement forproblems, including Joint inspections. indicators. regular instrumentation

and measurements ofdam safety relatedparameters.

*Discussions with WUA for possible *Collection of baseline data *Deduction of taxes * Assuredcontributions. on performance indicators. & levies. periodic maintenance as

per O&M Manual.*Preparation of survey estimates for dam * Approval of estimates. *Payment tosafety related issues. agency.*Assessment and deployment of *Initiation of funding *Submission ofmanpower for planning stage. arrangements account retums for

reimbursement.*Assessment of construction materials. *Finalisation of tender * Preparation of

documents. completion drawingwith final cost.

*Assessment of manpower and *Calling tenders. *Documentation ofmachinery. incumbency.*Assessment of preparedness for *Assessment of staff foremergency. implementation stage and

its deployment.*Sefting field labs.*Preparation ofconstruction & procurementplans.*Procurement of recordbooks*Negotiations & acceptanceof tenders.*Fixing agency and signingthe agreement/ MoU.*Work order.

Source: Operational Manual, WRD

12.3 KNOWLEDGE BASE & INFORMWATION DISCLOSURE

All details of dams shall be incorporated into the Knowledge Base and used for planning allocation ofinvestments related to dam safety. This information shall be supplied in a simplified with easily


1 ! £SENF (FinafmWpofl

identifiable indicators to the people at risk as a part of information disclosure. This information shall bemaintained at the WUA and sub-project WRD offices. The contents should include:

* General details and Status of the Dam in terms of safety,

* Indicators to identify safety hazards,

* The responsible people with addresses and phone numbers to be contacted in case of any eventuality, and

* Emergency plan in case of a dam break.

The requirements and costs associated with dam safety should be included into the engineering,training and knowledge base/information system development estimates for the project.


FORMAT 1: ENGINEERING DATA FORMAT

(A) GENERAL

* Name of the Dam - Project* Location - River, Sub-basin, Basin, Village/Tehsil/District/State* Type of Dam* Year of completion* Height of Dam (Elevations: Deepest foundation, River bed, FRL, MWL, Top of Dam).* Impounding capacity at F.R.L., at M.W.L.* Index map showing location of dam, catchment area, downstream area subject to potential damage due to

failure of dam or failure of operating equipment.* Nearest downstream city, town, village which can be located on the map. Its distances from dam and

population.* Extent of economic development in downstream area.

(B) PROJECT FEATURES

* Salient features.* Construction drawings indicating plans, elevation and sections of the dam and appurtenant structures

including the details of the discharge facilities such as outlet works, spillways and operating equipment.* Emergency preparedness - Communications Downstream Warning Systems Auxiliary power-Remote

Operation-Security of the site.

(C) HYDROLOGY

* Description of Drainage basin-Drainage area and basin runoff characteristics.* Design flood-design assumptions and analysis, storage of flood control zone.* Spillway capacity and flood routing criteria.* Area capacity curves.* Elevation of crest, type, width, crest length, location of spillway and number size and type of gates.* Type, location, capacity, entrance and exit levels of other outlet works.* Emergency draw down capacity.* Type, location, observations and records of hydro meteorological data.

(D) GEOLOGY AND FOUNDATION

* Rock types, logs of borings of geological maps profiles and cross-section location and special problems (fault,shear zones, solutions, channels, etc.)

* Effects of geology on design.* Adequacy of investigation.* Foundation treatment-grouting-drainage, etc.* Cut-off

(E) Construction History-including diversion scheme, construction sequence, constructionproblems, alterations, repairs.

(F) Operation and regulation plan under normal conditions and during floods and other emergencyconditions. Flood Warning Systems.


1U ! SE911T qFinaR[Wpon

(G) Operation record-experience during past major floods.

(H) Stability and stress analysis of the dam, spillway and appurtenant structures and featuresincluding the assumed properties of materials and all pertinent applied loads.

(I) Instruments and records of performance observations

Any known deficiency that may pose a threat to the safety of the dam or to human life and property.

FORMAT 2

PROFORMA FOR PERIODICAL INSPECTION OF DAMS WITH

UNGATED WASTE WEIR

Name of Dam ........................ SRLD No ..............

District .............. ............... Division ...............

C ircle........................................................Basin.......................................

A. General Date of Inspection

S. No Item Remarks

1. Name of Project

2. Purpose of Project: Water Supply/ Power / Multipurpose / Irrigation

3 Name of Dam

(a) Latitude and longitude.

(b)Catchment area

4. Year of completion

5. First filling (year / levels)

6. A- Benefits assured:

(a) Irrigation (RABI / KHARIF) .......................... (Hect.)

(b) Water Supply .............................. (Cum.)

(c) Other benefits

B- Benefits achieved preceding year.

(a) Irrigation (RABI/ KHARIF) .......................... ( Hect.)

(b)Water Supply

(c) Other benefits

7. Important Controlling Levels (in meters)

(a)Top of dam


1 !SJ SEM5F tFinaltport

(b) Maximum water level

(c) Full reservoir level

(d) Sill level of Irrigabon sluice

(e) Spillway crest level

(f Minimum Draw down level

(g) Lowest river bed level

(h) Deepest foundation level

8. Important salient Features

(a) Dead Storage capacity

(b) Area of foreshore at FRL

(c) Design flood adopted: (PMF / SPF / Any other) Give relevant magnitude.

(d) Design spillway discharge capacity and type and length of spillway with location.

(e) Location, sill level and capacity of low level outlets and scouring sluices.

(f) Height of, the dam in meters:

Above deepest foundation,

Above lowest river bed.

(g) Gross Storage Capacity in million cubic meters:

At FRL

At MWL

(h) Length of the dam (at crest) in metres.

9. Name and designation of the inspecting officer.

10. Date of inspection and the corresponding Reservoir

Water level

11. Maximum and minimum water level reached during the fast season with dates.

(a) Water level reached above designed MWL since construction with dates.

12. Maximum overflow during proceeding monsoon with dates.

(a)Maximum over flow since construction with year as above vide item 11 (a)

13 History of past distress, if ably, and brief details of remedial measures carried out.

14. Does the Officer-in-Charge of the Operation and Maintenance of dam possess all therecords as given in the Annexure-1.

15. When and by whom was the dam inspected immediately preceding this inspection?

16. Are the items pointed out during the fast inspection properly attended to? If not, statedeficiencies yet to be corrected).

17. Whether catchment area has been verified on the basis of latest toposheet? If yes, statethe outcome.


1Im S6E9W ThinaRrpoft


1 ! SE9WtF ThinafRPpofl

PROFORMA FOR PERIODICAL INSPECTION OF DAMS

Inspection of dams and ancillary works

B. EARTH DAM WITH UNGATED SURPLUSSING ARRANGEMENTObservation and Remarks of

No. 12.3.1 Item of inspection recommendations if reviewingany of the officer

inspecting officer.

Downstream drainageAre there any slings of water logging, slushy condition or growth of aquaticweeds on the downstream of the dam?Are there any standing pools of water in the downstream area of dam? Ifso, give locations and extent.Are there any boils observed in the vicinity of the down stream toe of thedam?Is the downstream area sufficiently clear and free draining?What is the depth of ground water table on the downstream as evident fromthe existing wells in the vicinity of the dam?Does the water table show any marks variation in accordance with thevariations in reservoir water level?Are all the exposed drains working satisfactory?Toe drains and cross drains:(i) Are the portions of longitudinal toe drain and

exposed -cross drains beyond the downstream toe of the dam in regularsection and freely draining?

(ii) Is the pitching to these drains intact?(iii) Is there any weeds growth in these drains?(iv) Indicate other defects noticed in these drainsif any

(i) Is the out fall drain in proper shape and grade arid freely draining?(ii) Is the ouffall drain properly cleaned and maintained?(iii) Does the out fall drain show any stagnant pools of water or weed

growth?2 Surface drainage of downstream slope-

(a) Is the condition of the downstream slope drainage arrangementssatisfactory?

(b) Is the paving to these drains intact?(c) Are all the drains properly maintained and free of 'vegetation growth

and debris?(d) Does the slope have a tendency to develop severe rain cuts at any

location?(e) Enumerate any other defects noticed in the surface drainage of

downstream slope.3 Seepage measurements:

(a) Is the quantity of seepage being daily or periodically measured withrespect to water level in reservoir and recorded? Please check theregisters and record observations.(b) Does it show any abnormal rise or fall? If so, does it have any relationto a certain reservoir level elevation?(c) Does the seepage flow show a turbid colour at any stage? Was such aphenomenon observed at any stage at any location in the past?(d) What is the measured rate of seepage flow with date arid reservoirlevel?

(i) On the day of present inspection.(ii) Maximum since fast June.(iii) Minimum since last June.

(e) Is the portion upstream and downstream of measuring points of seepageeasily accessible with proper steps and path and free of vegetationgrowth.

(f) Are the measuring points properly located, constructed and maintained so


LW SEM5P !ina(por

as to give accurate and reliable measurements of seepage?'(g) Is the method of taking seepage measurements satisfactory?(h)What is design seepage discharge? State your observation on

comparison?(i) Is the toe drain, out fall drain and cross drains completely dry?

4. Earth dam section crest.(a) Is the crest profile at proper elevation? Does, it

show any sign of excessive and / or uneven settlement? If so, indicatesuch locations and extent of settlement (Surface settlement points mustbe installed for observing this aspect)

(b) Is the surface of the crest free from undulations and local depressionsor heaving? Does it provide an all weather road surface?

(c) Does it develop any visible cracks in transverse or longitudinaldirections? If so, attach a map showing their locations and extent andshape. Depth and width of cracks must be ascertained by taking opentrenches extending below the bottom of cracks.

(d) What is the condition of the edges of crest? Is ramp provided? Anyroad crossing provided? Have they got eroded and cut up resulting inreduced effective width? If so, attach a map showing their location,shape & extent.

(e) Is the crest free from local slips throughout its length on either sides?(f) Do the headers, guard stones and parapet wall provided at the edges

of the crest appear in proper profile and plumb?5 Earth dam section-Upstream and downstream slopes.

Indicate the general condition of upstream pitching, downstream pitching /turfing and rock toe.(a) Do the upstream and downstream slopes show any sign of bulging or

concavity? If so, indicate their locations and extent.(b) Does the section of the dam and both the slopes appear structurally

sound and stable?(c) Are any longitudinal or transverse cracks noticed at any part of the

slopes?(d) Were any signs of distress to stability of slopes noticed at any time in any

part of the dam? If so, give brief detail of the incidents and location, themethod of treatment adopted and its effectiveness.

Indicate the general condition of upstream pitching downstream pitching/turfing and the rock toe.

(e) Is there any profuse growth of bushes or weeds over any portion of thedam? If so, indicate the locations.

(f) Do the upstream or downstream slopes show existence of crab holes orholes made by rodents or burrowing animals or anthills? If so, indicate thelocations.

(g) Are there any wet or slushy patches and concentrated leak springs ortrickles observed on the downstream slopes or the toe? If so, indicatetheir locations and extent. Please look out for patches of extensivevegetation growth and examine them carefully and record your findings.

(h) Are all the rain cuts and erosion channels properly treated and madegood?

(Please indicate location of recurring damage, if any)6 Junction of earthworks with Masonry/ Concrete dam section and sluices.

(a) ls there any existence of leaks, springs or wet spots in the earth work inthe vicinity of the junction between earth work and masonry works?If so, what is the approximate rate and colour of the leakage? Does it turnturbid at any time? Please ascertain from enquiries and record thefindings.

(b) Is there any tendency for separations, cracking, settlement or upheaval ofthe earth work in the vicinity of masonry or concrete? If so, indicate thelocations avid the exact nature of deficiency.

(c) Is there any tendency for surface erosion at the junctions'?(d) If the sluice conduit is located in the earth dam section, is the entire length

of the conduit in perfect order and profile and free from off sets, openjoints, cracks and leakage?

Examine the conduit carefully from the downstream or from inside if possibleand indicate the deficiencies observed if any.(e) Check the conditions of the crest and slopes specially in the zones adjacent


IISM S£F3dSE Tinia[4port

to concrete structures.Detect the deformations, settlements, cracks or other distress conditions causedby extemal erosion due to wind, rain etc. Set up permanent observation systemfor the same at the places of occurrence. Seepage at junctions between earthdam and masonry/concrete retaining wall or corch type junctions with concretedam is a possible source of trouble and should be carefully watched.

7 14 RELIP WELLS(a)Are the relief wells in good working condition and functioning well?(b)Are the relief wells properly cleaned periodically?(c)Please indicate the dates of last cleaning and the next cleaning due.(d)Are the necessary plant and equipment for cleaning the relief wells available

with the office?8 Breaching Section(if provided)

Is the breaching section easily accessible.(b) Is the condition of the breaching section satisfactory(c) Is the note of instructions as to when and how to operate the breachingsection available on record?(d) For reconstruction after the breach, are the following items decided inadvance.

Quality for embankment material;Suitable routes of access.Agency, plant and machinery for the construction.

(e) Is the maintenance staff fully aware of the instructions at (c) and (d) above?(f) Ascertain and indicate the latest event of operation of breaching section andits performance.(g) Is the surplus course from the breaching section acquired up to naturalvalley?

Is the course formed?Is the surplus course assigned later as

agriculture land or house site?(h) If so, what steps are taken?

9 Upstream and downstream faces of waste weir and falls in spill channel.Examine the monolith and construction joints for such defects as cracks,open joints, spalling, seepage leaching etc and indicate the findings.Is the upstream face of the waste weir/falls in good condition? If not,indicate the nature and extent of deficiency.Is any spalling or cracking observed on the downstream face specially nearthe zone of concentration of stresses like the toe or location of abruptchange in geometry or at the crest? If so, indicate the details ofobservations.(i) Is there excessive seepage/sweating at any location on the downstream face

of the waste weir/falls?Whether the observations are analysed and compared with the theoreticalassumptions made in the design?Remedial measures in case of large variations.

10 Approach bridge to sluice tower and other bridges where applicable.Are the decking, girders and structural supports of approach bridge tosluice tower structurally sound?Is the floor of the bridge structurally sound and safe?Are there satisfactory arrangements to prevent unauthorised entry into thecontrol structures and bridges?Are the structural members and joints sound and free from corrosion?When were the steel components pointed last?Is the surface of steelwork are painted satisfactorily?Is the parapet or railing over the bridges sound and safe?

11 Energy dissipation arrangements provided on downstream of waste weir:(a) Can the tail pond be drained easily for inspection of the stifling basin? If not,what are the shortcomings? Please ascertain and indicate the last event ofinspection of stilling basin.b) From the examination of the levels and contour plans and reference marks intail channel ascertain if there is progressive erosion and retrogression in the tailchannel.If so indicate the extent and location of such erosion with reference to the

various components of dams, spillway outlet, powerhouse etc.


mSEWT Finaf 4?

c) Is the concrete surface of the stilling basin and apron in good condition? Arethere any indications of pitting cracking, spalling or wearing of the surface ofbedding concrete? If so, please give details of the nature and extent of thedamage.Is there any indication of abrasion and cavitation damage (pitting ofconcrete) especially in friction block, chute blocks, the ........... near thelower tangent point and the end sill? if so, please give the details of natureand extent of the damage.Is the under-drainages of the stilling basin satisfactory? Are all the opendrain holes clear and functioning well?

12 12.4.1 Walls-Guide wall/Divide wall/Junction wall/Return walls etc. (Strike out whichever isriot applicable).

(a) Are all the locations of such wall accessible for inspection,maintenance and repairs?(b)ls the drainage of backsides of the walls (wherever applicable) throughthe weep holes satisfactory? If not, indicate the nature of deficiencies.(c) Is there any tendency for the water to under cut the ends of the walls?, Ifso, please give details of nature and extent of damage.(d) Is there any foundation erosion or scour noticed in the vicinity of suchwalls? If so, give the details of nature and extent of such damage.(e) Is there any surface erosion/ damage caused to face or body of suchwalls?(f) Do any of the walls show symptoms of unequal settlement, developmentof cracks and tilting? If so, give details of the defects, noticed.(g) Is there any damage to guide bunds? If so, give details of thedamage.

13 End weir (waste weir)(i) Is it accessible?(ii) Is there any erosion, pittitig or spalling of the surface near the lower

tangent point? If so, give details.(iii) Is there any scour noticed on the immediate downstream of such weir?

If so, give details of location and extent of such damage.14 Hydraulic performance of Energy dissipation arrangements provided at Waste

Weir or in spill channel:(a) Do the flow conditions in the stifling basin have a tendency to draw

rocky material into the bucket and cause its churning and abrasiondamage to the surface of bucket, baffle blocks, apron and end sill?

(b) Is the hydraulic performance in proper agreement with the results of modelstudies?

Ascertain the performance from observed tall water rating curves anddeficient observation if any such as weep outs and excessive erosionunder plunge pools and location of secondary rollers and retrogression.

15 Approach & spill channel:(i) Approach channel

(a) Is the approach channel excavated as per design section?(b) From the examination of levels ascertain that levels are as per designprofile.(c) Is there any erosion or retrogression in the channel?(d) When the erosion 1 retrogression was first noticed? (give the month1 year)

(ii) Spill channel:(a) Is the spill channel excavated to the design section & profile to take

the design discharge?(b) If not so, state up to what extent it is capable to take the design

discharge?(c) Is there any scouring, erosion or retrogression observed in the

channel?(d) When the erosion/retrogression was first noticed? (Mention month /

date).(e) If the spill channel is designed as flumed section, state if it is as per

the designed flumed section.(f) Is there any obstruction created in the spill channel?

16 Instruments installed and observations:


1 !~ S¶EMSE F Eima(fgporl

(a) Are all the instruments installed properly accessible? Are all the locationsproperly lighted Ventilated and adequately protected from possibilitiesof damage?

(b) Are all the instruments in proper working order? Ascertain the cases ofinstruments going out of order and indicate.

(c) Are all the registers of observations posted up to date? Please taketestobservations and initial the registers.

(d) Are all the plottings of the instruments data completed up to date?(e) Are sufficient stocks of spares, gauges, master gauges, stationery

items 'etc. maintained at the site for uninterrupted data collection?17 Outlet (Sluices)

(a) Is the air vent periodically cleaned?(b) Are there any structural damage to the intake

wells such as leakage noticed through wells?(c) Is there any leakage observed through the conduit, concrete or masonry?

If so, give details of its location and extent.(d) Is there any damage noticed to the conduit concrete, breast wall and gate

slots?(e) Take operating trials of the following as provided and record the

observations and defects noticed if any.(1 )Service-gates(2)Emergency-gates.

(f Are the 4trash racks (wherever provided) cleaned before monsoon?(g) Are there vibration and noise noticed in operation of outlet gates at any

time? If so, are any periodical observations taken to ascertain theirseverity?

(h) Is the energy dissipation arrangement working satisfactorily for alldischarges?

(i) Is there any structural damage to the energy dissipation structures? If so,give the details of nature and extent of damage.

() Is the conduit structurally sound and reasonably leak proof? If not, givedetails of natures and extent of the effects. Is it possible to examine theconduit from inside?

(k) Is there any seepage noticed around the conduit as ascertained from theobservations of the downstream conditions? If so, is it likely to causeerosion and piping?

18 Outlet Gates (Sluice Gates)(a) Is the surface of gates and the paint deteriorated?(b) Are the connecting bolts of rubber seals loosened or damaged?(c) Do the rubber seals show signs of weathering and damage and need

replacement?(d) Are the rubber seals of sides and bottom touching the bearing surface

uniformly?(e) Do all the rollers touch the track plates?(f) Are the rollers well lubricated?(g) Is the operation of outlet gates smooth?(h) Are the stem rods for lifting the gates straight?(i) Condition of steel wire rope arid last date of oiling and greasing.d) Are the actual operation of lifting and lowering of the gates and hoist,'

mechanisms smooth and satisfactory?(k) Are all the gears and hoist mechanisms, well lubricated?(1) Are the seal plates in sound condition? If not, ascertain the type of

damage and indicate.(m) Are all the nuts of connecting bolts and anchorage properly tightened?(n) Are all the lifting beams in proper order and sound condition? If riot,

ascertain the nature arid extent of damage and indicate.(o) Do any of the mechanical or structural parts of the gates, fasteners or hoists

show signs of excessive wear? If so, please give details.(p) Is there any tendency for recurring damage, to any particular component or

components? If so, give details.(q) Is sufficient stock of spares, which need frequent replacement, maintained at

the site?(r) Whether hand cranks are kept under lock and key and riot attached on hoist

mechanism when operated by electrical energy?(s) Whether warning sign indicating "Danger, Do not switch on" is hung


I!IW yEqS ' EFina/;Wpofl

dunng maintenance?

19 Emergency preparedness.Are the project officers well conversant with the emergency action plan,

Reporting procedures and waming procedures?When was the Emergency Action Plan last reviewed?Are the communication directories updated?(d) Are the concerned authorities informed about the system of emergency

reporting procedures and warning?(e) Are the inundation maps updated?(f) Are available safety spots on the downstream of the dam identified and

made known to the concemed authorities?(g) Are adequate warning devices and facilities provided at the dam?(h) Is the downstream waming system operational?(i) Are proper arrangements made for security of the dam and preventing

cases of unauthorised trespass, vandalism and sabotage to the damworks?

20 12.s ACCESS ROAM(a) Is there a properly constructed and well maintained all weather access road

to the dam site?(b) What is the type of pavement of the access road and its condition?(c) Are there properly constructed and maintained access roads

arrangements to the following components for inspection, maintenanceand repairs?(1) Top of dam(2) Toe of earth dam, downstream drainage arrangements and

berms.(3) All saddle dams.

21 Communication facilities:Are following facilities available at dam site and are in working order?

1 ) Wireless2) Telephone3) Telegraph

22 General Assessment of condition of the dam.Please give general assessment of safety of dam for normal operation. Pleaseenumerate all your observations, which you feel are adverse to the safety of thedam for normal operation.


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Record Maintained at Site

(To be incorporated in Knowledge Base and Disseminated to local people)

Records that may be required for proper inspection and maintenance shall be available at site. These shallbe properly maintained and kept up to date by including latest information available. Data in respect ofupstream gauging stations, flood warning system and communication channels, if installed shall be properlymaintained.

General:

1. Final detailed Project Report and details of modifications done during construction and a set of finaldrawing (as executed)

2. Index Plan of the area in which the dam is located showing important towns, roads, rail routes andcommunication facilities.

3. Index Plan of downstream area showing natural flood zone, flood zones corresponding to spillwaydesign flood and dam break flood and all-important towns/villages and properly laying in these floodzones.

4. Contour map of dam site extending up to 200 m or 10 times the dam height (whichever is less) onupstream and downstream, showing all features of the dam like toe lines, fills, drains, relief wells,access roads et.

5. Record drawings of longitudinal section of dam foundation or cut off trench showing details offoundation stratigraphy, stage wise construction of COT filling and raising of dam sectionembankment zoning details and foundation treatment.

6. Record drawings of cross-sections of dam showing details of foundation treatment, under seepagecontrol, zoning, internal and external drainage all-protective arrangements and stage-wiseconstruction.

7. Contour plan of dam site with foundation trench showing details of foundation treatment andfoundation drainage.

8. Contour plan of reservoir basin.

9. Contour capacity and area capacity curve.

10. Reservoir maps showing silted basin, if observed.

11. Plan of the catchment area showing rain gauge stations and capacities of upstream storages.

12. Material properties adopted for design.

13. Details of design criteria followed.

14. Design report on flood studies and spillway design flood.

15. Design reports of outlets, power outlets, river sluices, intake, conduit, energy dissipationarrangements and details of gates of hoists.

16. Geological data on the foundation and abutments.

17. Copies of reports, details of special foundation and abutment treatment carried out.

18. Record of tail channel geology and tail channel erosion.

19. Instrumentation drawing with details.


BORROW SEE Einamfpoil

20. Instrumentation data and behavioural record.

21. Details of communication system telephones, wireless etc directory of important key officers, floodwarning procedures.

22. Flood forecasting system.

23. Photographs showing various phases of construction, pre-construction etc.

Earth-Rock-fill Dams:

1. Stage wise construction record of the dam showing volumes and heights achieved in each seasonand time rate of progress.

2. Record of special compaction done near concrete/masonry structures, abutment contracts andoutlet locations, if available.

3. Summarized records of compaction control, sampling and complete laboratory and field-test resultson all recorded samples.

4. Foundation details and geology as observed.

5. Data of water intake test.

6. Detailed drawings and record of relief well observations.

7. Design report for the earth dam, covering the under seepage control, stability of embankmentsjunctions with masonry dam, instruments installed etc.

8. Drawings showing the typical cross sections including zoning, drainage arrangements detaileddetails of slope protections, provided for etc, as per actual construction.

9. Details and location of instruments embedded/installed in and around the structures.

10. Record of corrective measures, repairs and treatment that have been done subsequent toconstruction.


12. Photographs showing all phases of construction.

13. Important inspection reports and reports of consultants.

ConcreteJMasonry Dams:

1. Details of construction history including stages of construction particularly in low blocks whereconsiderable time elapsed prior to resumption of work.

2. Summarized data on control tests carried out during construction in respect of concrete, mortar andtheir constituent materials, if available.

3. Reports on hydraulic model studies.

4. Drawings showing the details of energy dissipation arrangements including foundation levels ofapron, training walls and end weir.

5. Details and location of instruments embedded/installed in and around the structure.

6. Summarized data of observation on embedded/installed instruments.

7. Detailed drawings of all service facilities like internal lighting, emergency lighting, drainage etc.

8. Drawing showing the uplift measurements and pressure relief arrangements.


1 1 £ SE9dq (Fina(Wpofl

9. Summarized data of uplift pressure observed.

10. Summarized data of seepage, leaching observed in the drainage gallery and downstream face ofthe dam, their locations etc.

11. Record of corrective measures, repair of treatment that have been done subsequent to completion.

12. Important inspection reports and reports of consultants.


14. Photographs showing all phases of construction.

Operation and Maintenance:

1 Gauge data of the river prior to the construction and after completion of work.

2 Detailed observations of flood discharges.

3 Detailed observations of hydraulic performance of energy dissipation basins.

4 Record of past performance stating briefly the defects developed and remedial measures carriedout.

5 Drawings of outlets, maximum discharge capacity, maximum design operating head.

6 Standing orders regarding operation of the dam -

a) Designers operating criteria.

ii) Standing operating procedure.

iii) Flood forecasting procedures.

iv) Gate operation procedures.

v) Emergency action plan.

Standard reference literature for operation and maintenance of reservoir, dam, ancillary work, gates,instruments etc. including IS Specifications, Codes, Manuals, manufacturer's literature etc.
